THE    STUDY    OF 
A    NOVEL* 


BY 
SELDEN    L.  WHITCOMB,  A.M.  (COLUMBIA) 


ASSOCIATE  PROFESSOR  OF  ENGLISH  LITERATURE 
IN  THE  UNIVERSITY  OF  KANSAS 


D.  C.  HEATH  &  CO.,  PUBLISHERS 
BOSTON     NEW  YORK     CHICAGO 


COPYRIGHT,  1905, 
BY  D.  C.   HEATH  &  Co. 


TO 

BRANDER  MATTHEWS 

As  CRITIC  AND  TEACHER 
OF  THE  NOVEL 

IN  GRATITUDE  AND  RESPECT 


33447S 


PREFACE 

THIS  volume  is  the  result  of  practical  experience  in 
teaching  the  novel,  and  its  aim  is  primarily  pedagogical. 
It  is  only  within  the  last  few  decades  that  the  novel  has 
been  given  much  separate  attention  in  college  courses,  and 
it  cannot  be  hoped  that  any  detailed  method  of  study,  at  so 
early  a  date,  can  be  more  than  an  experiment  and  a  tempo- 
rary contribution.  But  it  has  been  nearly  a  half-century 
since  Senior  conceived  a  "  treatise  on  Fiction,  illustrated 
by  examples,"  and  some  ten  years  since  Professor  Newcomer 
wrote  (in  a  Practical  Course  in  English  Composition)  that 
fiction  would  "  require  a  special  treatise  even  for  its  tech- 
nical side."  Such  fulfilment  as  has  been  made  of  these 
prophecies  has  been  mainly  in  the  field  of  the  short  story. 
The  present  writer  has  ventured  into  the  field  of  the  novel, 
with  a  sense  that  the  time  had  come  for  tillage,  even  though 
the  crop  might  be  partly  of  weeds. 

The  references  in  the  text  and  in  the  bibliography  will 
indicate  indebtedness  to  many  works.  Crawshaw,  Henne- 
quin,  Moulton,  and  Riemann,  in  particular,  have  had  a  large 
influence  on  the  general  method  or  the  specific  analyses  of 
this  volume.  Professor  Perry's  valuable  study  appeared 
after  the  plan  for  this  study  was  matured,  and  has  been 
read  for  literary  enjoyment  rather  than  for  critical  con- 
tribution. 


vi  PREFACE 

For  personal  encouragement  and  assistance,  the  writer 
is  grateful  to  more  friends  than  can  be  named  here.  The 
completion  of  the  work  is  due,  in  no  small  measure,  to 
the  sympathetic  attitude  of  colleagues  and  pupils  at  Iowa 
College ;  and  especially  to  the  cooperative  spirit  of  Pro- 
fessor Charles  Noble,  Dr.  John  S.  Nollen,  Dr.  Martha 
Foote  Crow,  and  Mr.  DeWitt  C.  Sprague.  Dr.  Nollen 
has  given  much  practical  assistance  in  matters  relating  to 
French  and  German  data.  His  generous  service,  in  many 
ways,  from  the  conception  of  the  work  until  the  final 
proof-reading,  is  acknowledged  with  pleasure. 

LAWRENCE,  KANSAS, 
September  30,  1905. 


INTRODUCTION 

To  THE  TEACHER 

IT  has  required  a  long  time  for  prose  fiction  to  attain  a 
dignified  and  independent  position  in  the  world  of  criticism. 
This  has  been  due  in  part,  no  doubt,  to  the  frailties  of  fiction, 
in  part  to  the  ungenerous  conservatism  of  the  critics.  It 
is  no  longer  deemed  necessary  to  apologize  for  fiction  itself, 
but  a  detailed  study  of  its  form  is  still  quite  generally  pro- 
posed in  an  apologetic  tone.  It  is  frequently  said  that  the 
novel  is  written  to  be  read  and  enjoyed,  not  to  be  dissected. 
It  might  be  replied  that  "  dissection  "  is,  in  some  cases,  to 
some  minds,  a  source  of  great  enjoyment ;  that  there  is  no 
necessary  antagonism  between  agreeable  reading  and  ana- 
lytical study,  and  that  if  only  the  primary  human  values  of 
things  were  examined,  several  of  the  sciences  would  dis- 
appear. Flowers  are  pleasant  to  see  and  smell,  and  may 
be  associated  in  one's  memory  with  the  bridal  day  or  the 
new-made  grave ;  yet  the  microscopic  study  of  botany  is 
not  usually  opposed  on  sentimental  grounds.  The  same 
person  may  at  one  time  enter  the  cathedral  for  personal 
worship,  at  another,  for  professional  examination  of  its 
structure,  without  any  sense  of  conflict  between  the  two 
interests.  There  may  be  person^j^P^^^able.to  cem- 
bine  the  aesthetic  enjoyment  of  literature  with  systematic 
study  of  its  nature,  but  it  may  be  doubted  whether  they  are 
the  best  examples  of  genuine  and  normal  love  of  literature. 
Does  not  a  somewhat  systematic  approach  to  fiction  seem 
worth  while  so  long  as  conflicting  opinions  like  the  follow- 

vii 


viii  INTRODUCTION 

ing  are  not  only  possible  but  representative,  in  the  columns 
of  reputable  journals? — "This  novel  has  that  charm  of 
blended  romance  and  realism,  that  captivating  verisimili- 
tude, and  that  nameless  power  to  haunt  one  with  its  shame- 
tinged  sorrow  and  happiness  which  testify  unmistakably  of 
genius."  -  -  "  The  rankest  rot,  ethically  and  artistically,  ever 
published." 

Teachers  of  literature  are  accustomed  to  the  complaint 
that  their  subject  is  vague.  The  recent  tendency  towards 
detailed  analysis  of  literature  is,  from  one  point  of  view,  an 
effort  to  discover  how  far  thife  vagueness  is  due  to  methods 
of  study,  rather  than  to  the  nature  of  the  subject.  A  little 
examination  of  the  novel  shows  that  it  has,  in  spite  of  its 
amorphous  quality,  certain  fixed  values  of  material  and  of 
form,  which  may  repay  a  systematic  examination,  and  are 
independent  of  the  personal  impressions  of  the  reader. 
The  separate  consideration  of  characters,  plot,  and  settings, 
and  the  distinction  between  characters  and  characterization, 
are  now  fairly  well  established.  Cooperative  effort  might 
result  in  greater  uniformity  of  view,  without  violence  to 
the  nature  of  the  novel,  or  danger  to  the  liberty  of  the 
individual  teacher.  In  this  volume  the  aim  has  been  to 
"  keep  the  eye  upon  the  object."  In  the  matter  of  sequence 
and  proportion  in  analysis,  there  is  room  for  a  wide  differ- 
ence of  opinion,  and  exact  uniformity  is  not  to  be  desired. 
The  order  of  examination  in  these  pages  has  been  carefully 
considered,  but  it  may  prove  satisfactory  to  few,  and  may 
be  variously  altered  without  destroying  the  general  plan. 
Examples  of  other  methods  of  analysis  for  the  novel  —  inde- 
pendent, yet  not  without  some  tendency  towards  agreement 
• — will  be  found  on  pages  265-268. 

If  there  is  a  science  of  the  novel,  this  work  does  not 
attempt  to  embody  it.  It  is  interesting,  however,  to  com- 


INTRODUCTION  ix 

pare  the  problems  of  systematic  literary  study  with  similar 
problems  in  other  fields.  In  Walker's  Political  Economy 
(Briefer  Course,  page  18),  several  sections  are  devoted  to 
"the  obstacles  which  Political  Economy  encounters." 
Some  of  these  obstacles,  such  as  the  fact  that  most  persons 
"feel  themselves  competent,  irrespective  of  study  ...  to 
form  opinions  "  on  all  phases  of  the  subject,  and  the  dif- 
ficulty of  finding  a  clear,  precise  terminology,  are  very 
familiar  to  the  teacher  of  literature. 

The  question  of  the  right  relations  of  extensive  and 
intensive  study  is  often  harassing.  A  fairly  complete 
analysis  of  some  single  novel  seems  desirable ;  but  there  is 
no  work  which  represents  adequately  all  the  values  of  the 
type,  and  such  a  study,  pursued  in  a  spirit  of  real  interest 
in  details,  would  require  almost  an  entire  course.  On  the 
other  hand,  some  of  the  richest  cultural  values  of  the  novel 
are  to  be  gained  only  by  a  liberal  reading  which  brings 
before  one  a  wide  area  of  historical  and  social  interests. 
The  best  general  method  is  perhaps  a  combination  of  the 
two  kinds  of  study  in  a  single  course.  In  an  historical 
course,  there  are  some  novels  which  ought  to  be  examined 
without  complete  reading,  others  which  may  be  read 
entire,  but  scarcely  repay  detailed  study.  The  present  vol- 
ume is  intended  mainly  as  a  guide  to  the  consecutive  and 
extended  study  of  the  individual  novel,  though  the  analysif 
could  be  distributed  among  several  works,  in  accordance 
with  their  specific  values.  The  experience  of  the  writer 
has  been  that  it  is  best,  for  mature  students,  to  attain  as 
great  a  general  familiarity  with  a  work  as  possible  before 
a  systematic  study  is  attempted.  This  practise  may  help 
to  dispel  the  conception  that  one  who  has  simply  read  a 
work  of  literature  has  "  had  it." 

The   study  of  the   novel  offers  an  opportunity  for   a 


X  INTRODUCTION 

review  of  the  formal  rhetorical  study  of  exposition,  narra- 
tion, and  description.  It  may  give  the  mind  elasticity  and 
a  sense  of  freedom  in  considering  the  relations  of  these 
rhetorical  types,  which  are  liable  to  become  somewhat 
artificially  viewed  in  prolonged  separate  study.  Any  pre- 
vious study  of  the  short  story  ought  to  be  advantageous  in 
the  examination  of  the  closely  allied,  but  more  complicated, 
form  of  the  novel.  The  short  story  has  this  advantage, 
that  critical  study  and  practical  composition  can  go  hand 
in  hand ;  but  many  detached  exercises  in  novelistic  com- 
position might  be  profitable,  at  least  for  advanced  students. 
The  intimate  relations  of  the  novel  to  the  drama  and  the 
epic  are  obvious,  and  suggest  a  frequent  reference  to 
masterpieces  already  familiar,  or  to  new  material. 

In  spite  of  considerable  criticism,  and  even  ridicule,  the 
study  of  comparative  literature  seems  to  be  making  prog- 
ress in  America  and  in  Europe,  as  a  well-defined  spirit, 
aim,  and  method.  In  an  ideal  arrangement,  a  course  in 
the  history  of  the  novel  would  probably  be  undertaken 
from  this  point  of  view.  It  is  impossible  to  gain  a  satis- 
factory view  of  the  development  of  any  national  fiction 
without  constant  reference  to  the  general  European  devel- 
opment of  fiction.  No  adequate  work  in  the  latter  subject 
exists  in  English,  but  the  revised  editions  of  Dunlop,  with 
the  assistance  of  various  monograph's,  will  furnish  a  valu- 
able background.  In  the  matter  of  translations,  while 
acquaintance  with  the  originals  is  always  desirable,  there 
is  probably  less  loss  through  a  translation  for  the  novel 
than  for  any  other  type  of  literature  —  especially  for  lyric 
poetry.  If  a  spirit  of  cooperation  exists  among  the  modern 
language  teachers  of  a  school,  combined  effort  can  offer 
some  instruction  in  comparative  literature,  without  offense 
to  the  dignity  of  scholarship. 


INTRODUCTION  xi 

One  reason  why  the  study  of  the  novel  has  made  slow 
progress,  until  recent  years,  is  that  it  could  not  follow  the 
traditional  methods  of  criticism  for  the  classics.  Some 
classical  teachers  seem  scornful  of  the  study  of  modern 
literature,  at  least  in  the  mother-tongue  of  the  student. 
These  conditions  are  not  entirely  discouraging.  They 
may  prove  a  stimulus  in  the  development  of  a  study  of 
literature  for  its  own  sake,  and  in  relation  to  social,  ethical, 
and  psychological  interests  rather  than  to  philology,  in  its 
narrower  meaning.  When  the  novel  is  considered  as  the 
modern  epic,  moreover,  even  Homer  and  Vergil  have  a 
legitimate  place  in  the  wide  comparative  view  of  fiction ; 
and  Coleridge  suggests  a  tempting  study  when  he  writes, 
"  Upon  my  word,  I  think  the  OEdipus  Tyrannus,  The 
Alchemist,  and  Tom  Jones  the  three  most  perfect  plots 
ever  planned"  (Table-talk,  July  5,  1834). 

An  intensive  study  of  any  art  ought  to  increase  interest 
in  other  arts,  and  to  prove  a  good  introduction,  episode,  or 
epilogue  in  a  course  of  general  aesthetics.  The  novel  is 
often  considered  the  most  characteristic  art-form  of  the 
nineteenth  century.  It  offers  one  an  inviting  field  for  the 
concrete  study  of  many  important  principles  and  problems 
of  aesthetics,  some  of  which  have  been  brought  into  recent 
prominence  because  of  its  large  vogue.  Like  music,  fiction 
has  the  advantage  of  offering  its  masterpieces  to  communi- 
ties remote  from  the  great  art  centers. 

The  willing,  if  feminine,  assistance  the  novel  may  give 
to  ethics,  history,  psychology,  and  sociology  ought  not  to 
be  despised.  Such  studies  as  are  outlined  in  Chapters  X 
and  XI  directly  concern  the  last  two  subjects,  which  are 
also  touched  at  many  points  in  the  analysis  of  the  form 
and  matter  of  the  novel  itself.  The  psychology  of  charac- 
terization, if  it  does  not  yield  real  scientific  data,  furnishes 


xii  INTRODUCTION 

an  interesting  literary  comment  on  the  science  of  the  mind. 
The  writer  has  known  an  instructor  to  analyze  some  of 
Poe's  tales  in  a  course  in  logic.  For  such  a  purpose  a 
technical  examination  of  the  methods  of  motivation  would 
not  have  come  amiss. 

President  King,  of  Oberlin  College,  makes  contact  with 
the  complexity  of  life  one  of  the  three  or  four  essentials  of 
a  real  educational  process.  If  this  judgment  is  accepted, 
the  large  educational  value  of  the  novel  can  scarcely  be 
denied.  Complex  in  its  origin,  development,  form,  subject, 
and  appeal,  it  introduces  the  mind  to  a  world  which  has  to 
some  degree  the  aspect  of  a  chaos  rather  than  a  cosmos, 
and  yet  is  not  without  its  laws.  Fiction,  in  its  ethics 
and  its  aesthetics,  its  exhibition  of  the  individual,  of  society, 
and  of  religion,  challenges  the  student  to  review  his 
opinions ;  to  distinguish  truth  from  error,  the  significant 
from  the  insignificant;  to  search  for  the  fundamental 
values  of  art  and  the  essential  meaning  of  experience. 
A  study  of  the  novel  brings  one  face  to  face  with  strong 
and  often  restless  minds,  and  invites  one,  by  a  slow  and 
patient  effort,  to  learn  to  know  himself. 

Never  perfect  as  a  form  of  art,  never  presenting  a  per- 
fect individual  or  a  perfect  society,  fiction  represents  the 
limitations,  but  also  the  living  qualities,  of  romantic  art,  as 
conceived  in  a  broad  contrast  to  the  classical  ideal,  by 
Browning :  — 

To-day's  brief  passion  limits  their  range; 

It  seethes  with  the  morrow  for  us  and  more. 
They  are  perfect  —  how  else  ?  they  shall  never  change : 

We  are  faulty  —  why  not  ?  we  have  time  in  store. 


CONTENTS 

PAGE 

PREFACE        v 

INTRODUCTION vii 

CHAPTER  1 
EXTERNAL  STRUCTURE 

SECTION 

1.  Meaning  of  External  Structure I 

2.  Significance  of  External  Structure 2 

3.  Characteristics  of  Novelistic  Structure 2 

4.  The  Whole  Composition 3 

5.  The  Title 5 

6.  Length  of  Composition 6 

7.  Principal  Divisions  of  a  Novel 7 

8.  Volume,  Part,  and  Book 8 

9.  The  Chapter 9 

10.  The  Paragraph 10 

11.  Minor  Divisions 12 

12.  Prose  and  Verse __  i^_ 

13.  Dramatic  and  Non-dramatic  Form 15 

14.  Non-dramatic  Form          . 16 

15.  Dialogic  Form  in  General 17 

1 6.  Soliloquy  and  Monologue 17 

17.  Duologue 18 

1 8.  Group  Conversation  (Conversation) 18 

19.  Concerted  Speech 19 

20.  Documentary  Form  in  General 20 

21.  Epistolary  Form 20 

22.  Syntax 22 

23.  Vocabulary 25 

24.  Phonology 27 

xiii 


xiv  CONTENTS 

CHAPTER   II 
CONSECUTIVE  STRUCTURE 

SECTION  PAGE 

25.  Significance  of  Consecutive  Structure 28 

26.  Sequence 29 

27.  The  Principal  Masses 30 

28.  Sequence  of  Dramatic  and  Non-dramatic  Masses     .        .        .        .31 

29.  Beginning,  Middle,  and  End 32 

30.  Movement  and  Situation           •         .         • 33 

31.  Event  and  Incident          .                 34 

32.  The  Scene 36 

33.  Episode 4 37 

34.  Lines  of  Interest .38 

35.  The  Line  of  Emotion 39 

36.  Points .....40 

37.  Mass  in  Momentum ...  42 

38.  The  Rate  of  Movement 43 

39.  Climax  and  Foiling 44 

40.  Reciprocity 45 

41.  Analysis  of  Simpler  Narratives 46 

CHAPTER  III 
PLOT 

42.  Meaning  of  Plot 47 

43.  Necessity  and  Ideality  of  Narrative  Plot 48 

44.  Action  and  Narration 49 

45-   Stoi7 -  51 

46.  Story  and  Plot          ..........51 

47.  The  Plot  Proper 52 

48.  The  Single  Action 53 

49.  Sequence  of  Simple  Narratives 56 

50.  The  Dramatic  Line 57 

51.  The  Climax 59 

52.  The  Catastrophe 60 

53.  Motivation .....62 

54.  Motivating  Forces 63 

55.  The  Narrator.  —  His  Point  of  View 66 

56.  Temporal  Point  of  View 67 

57.  Spatial  Point  of  View 69 


CONTENTS  XV 


SECTION  PAGE 

58.  Character  Point  of  View           ........  71 

59.  Generalized  Statement  of  Plot          .......  72 

60.  Unity  of  Plot   ...........  73 

61.  Types  of  Plot   ......        •        ....  74 

62.  The  Judgment  of  Plot      .........  76 


CHAPTER   IV 
THE  SETTINGS 

63.  Esthetic  Function  of  Settings  .......  78 

64.  General  Time  Setting       .........  78 

65.  Detailed  Time  Settings    .........  79 

66.  General  Place  Setting       .........  Si 

67.  Detailed  Place  Settings    .........  82 

68.  Circumstantial  Settings     .........  83 

69.  Reality,  Ideality,  and  Truth     ........  84 

70.  Vague  and  Exact  Settings        ........  85 

71.  Natural,  Social,  and  Socialized  Settings  ......  86 

72.  Author  and  Dramatis  Personse          .......  87 

73.  Distribution     ...........  88 

74.  Further  Economy     .......        ...  89 

CHAPTER   V 
THE  DRAMATIS   PERSONS 

75.  Composition     .  .......  91 

76.  Number   ............  92 

77.  Chapter  Distribution         ........  93 

78.  Grouping  in  General         .....         ....  93 

79.  Successive  Groups    ..........  94 

80.  Foreground,  Middleground,  and  Background  Characters     *    .         .96 
-*  81.  Central  Characters    ..........  97 

82.  Association  of  Characters          ........  99 

83.  Relation  to  the  Author     .........  101 

84.  Reality  and  Ideality         .........  102 

85.  Individuals  and  Types      .........  104 

86.  Social  Groups  ..........        .  105 

87.  Psychological  Groups       .........  107 


xvi  CONTENTS 

/  CHAPTER  VI 

^  CHARACTERIZATION 

SECTION  PAGE 

~-^  88.  Character  and  Characterization .  109 

^  89.  Novelistic  Characterization     .        .        .        .        •        .        .        .no 

90.  Character  Unfolding in 

91.  Appellation ,        .        ,        .112 

92.  Physiognomy .        .         .        .113 

93.  Costume  and  Physical  Environment 114 

94.  Pantomime 116 

95.  Utterance 117 

96.  Physiological  Psychology        .        .        .        •        .        .        .        .118 

97.  Pure  Psychology 120 

98.  Identity,  Individuality,  and  Type 121 

99.  Character  Change 124 

•;  100.  Direct  and  Indirect  Characterization 125 

101.  General  Methods 127 

102.  Group  Characterization 128 

CHAPTER  VII 
SUBJECT-MATTER 

103.  Subject-Matter  and  Form .  130 

104.  Extensive  and  Intensive  Subject 131 

105.  The  Typical  and  the  Individual 131 

106.  Exhibition  and  Interpretation 131 

107.  The  Subject  of  the  Novel 132 

108.  Sociology  and  History 132 

109.  Social  Composition 133 

no.  Social  Life 135 

111.  Historical  Period 138 

112.  Historical  Interpretation 139 

113.  Individuality 140 

114  The  Individual  and  Society 142 

115.  Human  Nature 143 

116.  Nature  in  Man •        .        .        *  144 

117.  External  Nature 144 

1 1 8.  The  Supernatural 145 

119.  General  Philosophy 147 

120.  The  Main  Theme 148 


CONTENTS  xvii 

CHAPTER   VIII 
STYLE 

SECTION  PACK 

121.  General  Conception ,        .150 

122.  Objective  and  Subjective  Aspects  .        .        .        .        .        .         .151 

123.  Qualities  of  Style 151 

124.  Types  of  Style •...  152 

125.  Value  of  Style  in  the  Novel    ...••••.  152 

126.  The  Novelistic  Type 154 

127.  Novelistic  Qualities 154 

128.  Comprehensiveness 155 

129.  Objectivity 156 

130.  Concreteness 158 

131.  Complexity 160 

132.  Secularity 161 

133.  Humor 162. 

134.  Ideality 163 

135.  Force 164 

136.  Other  Qualities 165 

CHAPTER    IX 
THE  PROCESS  OF   COMPOSITION 

137.  Value  of  the  Study 166 

138.  The  Data  for  Study 166 

139.  The  Germ  of  the  Work 167 

140.  The  Plan 169 

141.  The  Sources 170 

142.  The  Time  Perspective 173 

143.  Technic  of  the  Process 174 

144.  Psychology  of  the  Process 176 

145.  Collaboration 180 

146.  Fragments 180 

CHAPTER  X 
THE  SHAPING   FORCES 

147.  General  Conception 181 

148.  The  Data 182 

149.  Individuality  of  the  Author 183 


xviii  CONTENTS 

SECTION  PACK 

150.  The  Author's  Age 184 

151.  Sex 185 

152.  Personal  Episode 186 

153.  National  and  Racial  Influences 187 

154.  Linguistic  Influence 191 

155.  Literary  Influence »         .  193 

156.  Historical  Influence 195 

157.  Immediate  Social  Environment e  197 

158.  Human  Nature .        .  198 

159.  The  Influence  of  Nature 199 

CHAPTER  XI 
THE  INFLUENCE  OF  A  NOVEL 

1 60.  Popularity  of  Fiction 202 

161.  The  Data , 203 

162.  Time  Distribution 203 

163.  Place  Distribution 204 

164.  Influence  upon  Literature 205 

165.  Social  Groups  in  General        .        .   •     .        .        .        .        0        .  207 

1 66.  Influence  upon  Individuals 208 

167.  Kind  and  Degree  of  Influence 209 

1 68.  Perceptual  Effect 209 

169.  Sensational  Effect  .        . 211 

170.  Emotional  Effect 212 

171.  Conceptual  Effect 213 

172.  Volitional  Effect 214 

173.  The  Influencing  Elements 214 

174.  The  Causes  of  Influence 216 

CHAPTER  XII 
COMPARATIVE   RHETORIC 

175.  Nature  of  the  Study 218 

176.  The  Forms  of  Discourse 218 

177.  Prose  and  Poetry 219 

178.  Prose  and  Verse 220 

179-  The  Short  Story 221 

180.  The  Epic 222 

181.  Biography      ..«•• 224 


CONTENTS  xix 

SECTION  PACE 

182.  History * 225 

183.  The  Essay 226 

184.  The  Lyric 227 

185.  Journalism „  229 

186.  Other  Types  of  Literature 230 


CHAPTER  XIII 
COMPARATIVE  ESTHETICS 

187.  Relation  of  the  Separate  Arts 232 

1 88.  Classification  of  the  Arts 233 

189.  Method  of  Study „  233 

190.  The  Drama 234 

191.  Painting 237 

192.  Sculpture 239 

193.  Music ...  241 

194.  Architecture 243 

195.  Landscape  Gardening    .........  245 

CHAPTER  XIV 
GENERAL  ESTHETIC  INTEREST 

196.  ^Esthetic  Analysis  and  Esthetic  Theory 247 

197.  Nature  and  Humanity  in  a  Work  of  Art         .  247 

198.  Language  as  External  Material      ...„.„.  248 

199.  The  Value  of  Form         .........  249 

200.  Individuality  of  a  Work  of  Art       .  249 

201.  Unity — General  Design         .  250 

202.  Contrast „  252 

203.  Proportion 253 

204.  The  Comic  and  the  Tragic      ........  254 

205.  The  Beautiful  and  the  Unbeautiful 256 

206.  Artistic  Truth 257 

207.  Artistic  Illusion „         .         „         .258 

208.  Theories  of  Art 260 

209.  Theories  of  the  Novel 262 

210.  Judgment  of  a  Novel 263 


XX  CONTENTS 

AITENDIX 

PAGE 

I.     Systematic  Analysis  of  a  Novel 265 

II.     Glossary  and  Topical  References 269 

III.  Types  of  Prose  Fiction 279 

IV.  Notes  on  the  History  of  Novelistic  Criticism          .         .                  .  286 
V.     Bibliography  and  References 309 

INDEX    . 319 


THE    STUDY   OF   A   NOVEL 

CHAPTER  I 
EXTERNAL   STRUCTURE 

i.  Meaning  of  External  Structure.  —  Like  all  other 
artists,  the  novelist  communicates  with  us  solely  through  a 
sensuous  medium  —  an  external  material.  For  the  novel- 
ist this  medium  is  language,  considered  as  already  pre- 
pared for  him  by  nature  and  society,  and  significant  in  the 
study  of  an  individual  work  only  as  an  individual  novelist 
has  given  it  a  particular  structure.  This  medium  itself, 
differing  in  no  very  important  respects  for  all  the  forms 
of  literature,  is  considered  in  the  chapter  on  General 
Esthetic  Interest. 

The  form  given  to  language  in  a  novel,  as  observed  by 
eye  and  ear,  whether  referring  to  small  details  or  to  the 
whole  composition,  may  be  called,  for  the  sake  of  clear 
ness,  the  "external  structure."  Primarily,  and  especially 
from  the  aesthetic  point  of  view,  the  appeal  of  this 
structure  is  to  the  ear.  The  complete  evaluation  of  the 
structural  interest  of  a  novel  can  be  given  only  when  it  is 
read  aloud.  Practically,  in  most  cases,  the  values  of  the 
structure  as  an  arrangement  of  sounds,  reach  us  through 
the  medium  of  the  eye,  and  this  visible  structure  comes  to 
have  a  certain,  though  relatively  slight,  aesthetic  value  in 
itself.  A  sonnet  is  more  readily  appreciated  when  it  is 
printed  compactly  on  a  single  page. 


2  THE   STUDY  OF  A   NOVEL 

2.  Signiricance  of  External  Structure.  —  The  larger  units 
of  external  structure  in  a  novel  have  comparatively  little 
aesthetic  significance  in  themselves,  as  compared  with  those 
of  the  spatial  arts.     There  is  no  very  obvious  artistic  dif- 
ference between  a  novel  divided  into  "  parts "  and  one 
divided  into  chapters  only ;  but  these  divisions  are  impor- 
tant when  we  interpret  them  in  their  relation  to  the  "  in- 
ternal  structure."     The    smaller   structural   forms,   those 
which    the   ear   distinctly  grasps   as   units  —  the   phrase, 
sentence,  paragraph  —  may  have  a  definite  aesthetic  value 
in   themselves.     Elaborate  attention  to  the  sound-values 
of  every  detail  of  structure  is  more  characteristic  of  verse 
than  of  prose,  and  some  critics  would  probably  consider  it 
antagonistic  to  the  nature  of  the  novel  as  a  prose  form. 
On  the  whole,  the  tendency  to  develop  these  values  per- 
sistently is  more  characteristic  of  the  short  story  than  of 
longer  fictions,   and  more  characteristic  of  the  romance 
than  of  the  novel. 

3.  Characteristics    of    Novelistic    Structure.  —  All    the 
structural  forms  of  the  novel  are  found  in  other  kinds  of 
literature.     The  novel  differs  from  its  literary  fellows  only 
by  a  characteristic  combination  of  structural  units,  and  in 
some  cases,  by  a  special  adaptation  of  them.     No  form  of 
prose  literature,  in  English  at  least,  has  a  perfectly  definite 
structure  determining  the  type  of  the  whole  composition. 
In  comparison  with  the  sonnet,  rondeau,  ballade,  etc.,  the 
novel,  the  essay,  the  oration,  are  all  "  amorphous."     The 
history  of  the  novel  shows  no  very  important  development 
in  this  respect,  though  somewhat  more  careful  attention  to 
the  treatment  of  structural  units  is  naturally  found  in  the 
more  modern  novelists. 

The  novel,  in  a  generic  sense  including  the  romance, 


EXTERNAL    STRUCTURE  3 

as  written  to-day,  is   fairly  determinate  in  the  following 
respects :  — 

1.  It  is  written  almost  entirely  in  prose. 

2.  It  contains  from  fifty  thousand  to  five  hundred  thou- 

sand words. 

3.  It  is  divided  into  paragraphs,  and  the  paragraphs 

grouped  into  one,  or  usually  more  than  one,  kind 
of  higher  division. 

4.  It  has  a  distinct,  separate  title  or  titles,  sufficient  to 

distinguish  it  from  all  other  individual  works. 
(Compare  some  lyrics,  called  simply  "Lines,"  "A 
Song,"  etc. ;  histories  identified  by  the  author's 
name,  etc.) 

5.  It  is  composed  of  a  significant  combination,  in  alter- 

nation, of  dramatic  form  (quoted  speech)  and  of 
non-dramatic  (unquoted  speech).  If  the  entire 
novel  is  supposed  to  be  quoted  speech,  as  in  the 
epistolary  and  other  documentary  types,  there  is  a 
secondary  dramatic  form  within  this.  Specially 
characteristic  of  the  novel,  as  distinct  from  the 
drama,  is  the  "  described  dialogue,"  as  contrasted 
with  the  "set"  or  pure  dramatic  dialogue. 

4.  The  Whole  Composition.  —  The  mere  determination 
of  the  composition  is  not  quite  so  simple  a  matter  as  it 
might  seem.  Ordinarily  a  single  novel  is  taken  as  a  unit 
for  careful  study. 

This  frequently  includes  more  than  the  "  story "  proper — the  con- 
tinuous illusion  of  the  plot.  It  may  be  introduced  by  a  "  dramatic  " 
preface,  with  an  illusion  of  its  own,  as  in  Scott's  Old  Mortality,  Bride 
of  Lammermoor,  etc.  In  the  latter  work,  Chapter  I  is  supposed  to  be 
written  by  Peter  Pattieson,  is  quite  separate  from  the  story  proper,  and 
contains  an  interesting  and  fairly  complete  little  story  in  itself.  A  novel 


4  THE  STUDY   OF  A  NOVEL 

may  end  as  well  as   begin  with  this  dramatic  addition   to  the   story 
proper ;  as  does,  for  example,  The  Heart  of  Midlothian. 

The  "single  novel"  may  be  a  member  of  a  group, 
which  must  be  examined  if  one  is  fully  to  comprehend 
the  isolated  member.  A  familiar  example  of  the  grouping 
of  a  number  of  single  compositions  into  a  larger  whole  is 
found  in  the  so-called  "frame."  This  form  has  been  most 
frequently  used  in  the  short  story,  notably  in  the  famous 
examples  of  the  Decameron,  Heptameron,  Canterbury 
Tales,  etc.,  but  it  is  occasionally  found  in  the  novel. 

Scott  partially  carries  out  the  "frame"  idea  in  his  Tales  of  My 
Landlord.  The  "  frame,"  in  this  case,  includes  several  minor  charac- 
ters, as  well  as  the  principal  ones  —  Jedediah  Cleishbotham  and  Peter 
Pattieson  —  and  a  number  of  interesting  incidents  and  settings.  An  ex- 
ample of  a  long  fiction  belonging  to  a  larger  non-fictive  whole  is  Paul 
and  Virginia,  composed  as  one  of  Saint-Pierre's  u  Studies  of  Nature." 
This  famous  idyl  can,  to  say  the  least,  be  better  understood  if  one  has 
some  acquaintance  with  the  "  whole  composition,"  of  which  it  is  in  a 
sense  a  part.  One  of  the  most  interesting  examples  of  a  fictive  compo- 
sition including  an  expanded  part  essentially  non-fictive  is  Robinson 
Crusoe.  To  most  readers,  Robinson  Crusoe  means  what  Defoe  finally 
considered  only  the  first  of  three  parts  of  that  work. 

In  some  cases,  to  give  variety  and  scope  to  the  study, 
one  may  take  as  the  unit  of  analysis,  not  a  single  novel,  but 
a  group  of  related  novels.  These  are  properly  one  com- 
position only  when  they  were  so  intended  by  the  author 
himself ;  but  this  is  not  a  rare  case  in  the  history  of  the 
novel.  The  degree  of  unity  in  such  series,  in  characters, 
plot,  settings,  etc.,  is  very  various.  In  regular  "duodrama," 
trilogy,  or  tetralogy,  a  very  high  degree  of  unity  may  be 
found,  worthy  of  close  examination. 

One  form  with  less  definitely  planned  unity  is  that  of  the  simple  con- 
tinuation, frequently  suggested  by  another  than  the  novelist,  after  the 
publication  of  the  first  part,  as  in  Pamela,  Don  Quixote,  etc.  Some- 


EXTERNAL   STRUCTURE  5 

times  such  continuation  has  been  forced  upon  the  author  by  a  spurious 
one.  Continuation  by  another  than  the  original  author  offers  interest- 
ing material  for  study  of  the  process  of  composition. 

Larger  groups  may  be  called  series,  or  cycles.  Their 
organization  is  sometimes  quite  complex,  as  in  what  is 
probably  the  supreme  example,  the  Comedie  Humaine 
of  Balzac.  For  special  purposes  still  looser  groups  may 
be  studied  together :  as  a  novel  and  its  imitations,  for 
example,  Robinson  Crusoe  and  the  "  Robinsonades "  of 
German  fiction ;  or  a  work  and  burlesques  upon  it,  as 
Pamela  and  Joseph  Andrews,  the  romances  of  chivalry 
and  Don  Quixote,  Gothic  romances  and  Jane  Austen's 
Northanger  Abbey. 

EXAMPLES  OF  NOVELISTIC  GROUPS. — Dualogy:  Valdes — Riverita, 
Maximina;  Goethe — Wilhelm  Meister's  Lehrjahre  and  Wanderjahre. 
Trilogy:  Scott  —  Waverley,  Guy  Mannering,  Antiquary  (see  advertise- 
ment to  last,  1829);  Zola  —  Lourdes,  Rome,  Paris;  Sienkiewicz — With 
Fire  and  Sword,  The  Deluge,  Pan  Michael ;  d'Annunzio — Romances  of 
the  Lily  ;  in  some  sense  the  novels  of  Richardson.  Series:  Freytag — 
DieAhnen;  Zola  —  The  Rougon-Macquart  novels  ;  Trollope  —  Chron- 
icles of  Barsetshire.  Cycle:  Balzac  —  Come'die  Humaine;  Waverley 
Novels.  (For  grouping  in  Scott's  mind,  see  his  own  introductions.) 

Even  when  the  composition  is  a  single  novel,  it  may  con- 
tain an  intercalated  story  that  is  aesthetically  quite  inde- 
pendent (Don  Quixote,  Gil  Bias,  Tom  Jones,  Tale  of  Two 
Cities,  etc.).  A  unique  example  of  intercalation  is  the 
complete  drama  in  Ziegler's  Asiatische  Banise. 

5.  The  Title.  —  In  the  introduction  of  1829  to  Rob  Roy, 
Scott,  speaking  of  the  title,  says,  "A  good  name  [is] 
very  nearly  of  as  much  consequence  in  literature  as  in 
4ife."  (Compare  Chapter  I  of  Waverley.)  In  the  intro- 
duction of  1830  to  Ivanhoe,  he  states  the  theory  that  a 
title  should  conceal  the  nature  of  the  composition ;  yet 


6  THE   STUDY   OF  A  NOVEL 

probably  the  most  natural  function  of  a  title  is  to  express 
in  some  manner  the  main  theme  of  the  novel.  It  may 
refer  more  particularly  to  characters,  settings,  or  action ; 
it  may  be  realistic,  romantic,  impressionistic,  etc.  A  title 
often  has  some  special  significance  not  apparent  on  the 
surface.  Note,  for  example,  Joseph  Andrews,  Sense  and 
Sensibility,  Nouvelle  HeloYse,  TurgeniefF s  On  the  Eve, 
Com£die  Humaine. 

The  titles  of  English  sentimental  fiction  toward  the  close  of  the 
eighteenth  century  include :  Sentimental  Tales,  The  Tears  of  Sensibil- 
ity, The  Man  of  Feeling,  The  Effusions  of  the  Heart,  and  many  others 
of  like  nature.  Characteristic  of  nineteenth  century  realism  are  such 
titles  as  A  Modern  Instance  (Howells),  A  Common  Story  (Gontcharoff), 
One  of  Life's  Slaves  (Lie),  Life's  Little  Ironies  (Thomas  Hardy). 

In  form,  a  title  may  be  single  or  double ;  thematic  or 
analytical ;  purely  individual,  or  including  a  type  word 
or  phrase.  Of  such  type  words  story,  novel,  romance,  ad- 
ventures, history,  life,  etc.,  are  common  examples. 

Adventures  is  a  common  type  word  in  the  novel  of  action,  occurring 
in  Smollett  frequently,  in  Robinson  Crusoe,  Joseph  Andrews,  Oliver 
Twist,  Kidnapped,  etc.  History  has  been  common  since  Painter  wrote 
(preface  to  The  Palace  of  Pleasure,  1565)  of  "histories,  which,  by 
another  term,  I  call  novels."  It  was  specially  frequent  in  the  latter  part 
of  the  eighteenth  century ;  "  secret  history  "  being  a  somewhat  charac- 
teristic variation. 

An  old-fashioned  artificial  device  is  the  repetition  of  the  title  at  the 
end  of  the  novel,  used  some  half-dozen  times  by  Scott,  and  in  Soil  und 
Haben.  Titles  of  the  subdivisions  of  structure  are  often  important. 

6.  Length  of  Composition.  —  Recent  criticism  has  em- 
phasized the  idea  that  the  difference  between  the  modern 
short  story  and  the  novel  is  not  primarily  one  of  length. 
Still  it  is  true  that  marked  variation  in  length  implies 
aesthetic  difference  in  the  fictions  themselves,  the  process 


EXTERNAL  STRUCTURE  7 

of  composition,  and  the  effect  on  the  reader.  Silas  Mar- 
ner  and  War  and  Peace  may  both  be  called  novels; 
but  the  fact  that  the  former  contains  about  seventy-five 
thousand  words  and  the  latter  about  seven  hundred  thou- 
sand concerns  every  important  aspect  of  the  two  works. 
The  mere  labor  of  writing  and  reading  the  heroic  romances 
—  those  fictions  a  tongue  haleine  —  is  indicative  of  signifi- 
cant social  conditions  during  the  period  of  their  popularity. 
Richardson  was  fully  conscious  of  the  great  length  of  his 
novels,  and  offers  apology  or  explanations  therefor. 

The  length  of  a  novel  may  be  given  in  pages,  but  the  approximate 
length  in  words  is  more  convenient  for  purposes  of  comparison,  espe- 
cially with  compositions  in  verse.  A  classification  for  practical  pur- 
poses may  follow  some  such  outline  as  this :  — 

Minor  Novel.  From  50,000  to  125,000  words.  Silas  Marner,  75,000 ; 
Scarlet  Letter,  70,000. 

Paradise  Lost  contains  about  85,000  words;  the  Divine  Comedy 
about  100,000. 

Medium  Novel  1 25,000  to  250,000  words .  Mrs.  Radcliife's  Romance 
of  the  Forest,  130,000;  Adam  Bede,  200,000. 

Major  Novel.  250,000  to  500,000  words.  David  Copperfield, 
340,000;  Daniel  Deronda,  320,000. 

Maximum  Novel.  More  than  500,000  words.  War  and  Peace, 
700,000;  Clarissa  Harlowe,  800,000;  Madelaine  de  Scude'ry's  Grand 
Cyrus,  1,800,000. 

The  entire  Come'die  Humaine  contains  something  like  4,000,000 
words  :  The  Waverley  Novels  are  about  the  same  length. 

7.  Principal  Divisions  of  a  Novel.  —  In  a  typical  novel 
these  are  the  chapter  and  paragraph :  in  longer  fictions, 
the  part,  volume,  and  book  are  frequently  added.  The 
epistolary  novel  often  has  no  further  divisions  than  the 
letters  themselves,  frequently  given  with  separate  numbers 
or  headings. 

The  narrative  quality  of  Defoe's  novels  is  emphasized  by  his  habitual 
limitation  to  the  paragraph.  Clara  Reeve's  Old  English  Baron  and 


8  THE   STUDY   OF   A  NOVEL 

Brooke's  Juliet  Grenville  are  other  examples  of  undivided  eighteenth 
century  novels.  Scott  invariably  uses  the  chapter  and  rarely  a  higher 
division,  though  he  is  fond  of  dramatic  prefaces,  postscripts,  etc. 
Dickens  generally  has  only  chapter  divisions. 

In  one  fiction  or  another  nearly  every  possible  method  of  division  is 
found.  Verri's  Notti  Romane,  nights,  colloquies  ;  White's  Earl  Strong- 
bow,  nights ;  Leland's  Longsword,  sections ;  Gogol's  Dead  Souls,  epic 
cantos ;  Sarah  Fielding  and  Jane  Collier's  The  Cry,  scenes. 

8.  Volume,  Part,  and  Book.  —  When  a  mere  accident  of 
publication,  the  volume  has  no  artistic  significance,  but  it  is 
often  a  genuine  unit  of  structure,  sometimes  with  separate 
title.  When  both  part  and  book  are  used,  the  former  is 
generally  the  major  division.  The  book  is  found  in  the 
Greek  romances,  as  one  of  the  results  of  epic  influence, 
and  has  since  been  associated  with  the  theory  of  the  novel 
as  the  modern  epic.  Fielding  divided  all  his  novels  into 
books,  establishing  a  temporary  precedent  so  strong  that 
the  preface1  to  The  Cry  (1754)  refers  to  "the  common 
divisions  of  book  and  chapter/'  Mrs.  Radcliffe  returned 
to  a  simple  chapter  division.  There  is  sometimes  a  high 
degree  of  unity,  in  these  larger  divisions,  in  characters, 
theme,  setting,  or  action.  There  may  be  a  distinct  dra- 
matic line.  Sometimes  there  is  a  more  external  unity ;  as 
of  epistolary  structure,  Balzac's  Deputy  for  Arcis,  or  of  in- 
tercalated narrative,  Wilhelm  Meisters  Lehrjahre,  Book  VI. 

Balzac  frequently  uses  parts  (A  Woman  of  Thirty,  Lost  Illusions,  etc.), 
and  in  general  a  somewhat  complicated  division.  Parts  are  found  in 
Zola's  Downfall  and  The  Soil,  Scarron's  Roman  Comique,  Nouvelle 
He'loise,  George  Sand's  Le*lia  and  Indiana,  and  many  other  well-known 
fictions. 

Books  are  used  in  Esmond,  Corinne,  Amadis  of  Gaul,  Wilhelm 
Meister,  Notre  Dame  de  Paris,  Hall  Caine's  The  Manxman,  Daniel 
Deronda,  Tale  of  Two  Cities,  etc.  The  epic  number  twelve  is  found  in 
Gil  Bias,  Amelia,  and  Grave's  Spiritual  Quixote. 

1  Probably  written  by  Miss  Fielding. 


EXTERNAL   STRUCTURE  9 

9.  The  Chapter.  —  While  found  in  other  forms  of  com- 
position, this  is  the  structural  unit  most  characteristic  of 
the  novel.  It  is  used  with  great  freedom,  its  value  depend- 
ing on  relation  to  the  individual  work  rather  than  to  abstract 
rhetorical  principle.  While  the  chapter  bears  a  certain 
analogy  to  the  dramatic  scene,  the  number  of  chapters 
often  greatly  exceeds  the  number  of  scenes  in  a  well- 
constructed  drama.  In  length,  also,  the  chapter  shows 
great  variation  ;  but  for  a  given  novel  there  is  a  certain 
norm  below  and  above  which  a  true  aesthetic  quality  is 
lost.  The  realists,  for  example  Trollope,  Howells,  Jane 
Austen,  are  comparatively  regular.  The  romanticists  and 
the  pure  humorists  are  much  more  capricious.  Marked 
brevity  is  sometimes  a  source  of  humorous  effect;  occasion- 
ally a  source  of  tragic  effect. 

The  unity  of  a  chapter  is  generally  quite  distinct.  Ex- 
ternally it  may  appear  in  title,  motto,  or  dramatic  form. 
A  chapter  frequently  has  a.  definite  introductory  and  con/ 
eluding  paragraph,  or  begins  and  ends  with  marked 
single  effects.  Trollope  occasionally  opens  a  chapter 
with  the  same  words  that  conclude  the  preceding  chapter. 
(Can  You  Forgive  Her?  XII  and  XIII;  Framley  Parson- 
age, IX  and  X.)  The  first  and  last  chapters  of  a  novel 
often  have  some  distinctive  form.  The  first  chapter  in 
Trollope  rarely  contains  dialogue ;  the  first  chapters  of 
Scott's  Tales  of  My  Landlord  are  first-person  narra- 
tives by  "  Peter  Pattieson."  A  chapter  is  naturally  more 
distinctly  unified  in  respect  to  the  characters,  settings, 
action,  process  of  composition  and  effect  than  the  larger 
divisions,  and  less  so  than  the  paragraph.  In  the  novel 
of  character  the  introduction  of  important  new  characters 
usually  demands  a  new  chapter;  in  the  novel  of  action, 
important  incident. 


10  THE   STUDY   OF   A  NOVEL 


EXAMPLES 

Number  of  chapters:  Peregrine  Pickle,  106;  Amelia,  115;  Tom 
Jones,  208;  War  and  Peace,  362.  Chapter  length:  Notre  Dame  de 
Paris,  i  to  40  pages  (romanticism)  ;  Gil  Bias,  I  to  60  (humor). 
Humorous  brevity:  Tristram  Shandy;  Bulwer's  Paul  Clifford,  27. 
Tragic  brevity:  Bulwer's  Kenelm  Chillingly,  VIII,  6;  Gald6s'  Dona 
Perfecta,  last  chapter. 

Mottos  are  characteristic  of  the  romantic  movement,  and  of  ro- 
mance generally.  Scott  uses  them  habitually,  perhaps  following  Mrs. 
RadclirFe  in  this  respect  as  in  others.  See  his  comment  on  the 
practise;  Rob  Roy,  advertisement,  The  Monastery,  Chapter  III,  and 
elsewhere.  Other  famous  fictions  with  chapter  mottos  are,  Vigny's 
Cinq  Mars,  Last  of  the  Mohicans,  HaufTs  Lichtenstein,  Kingsiey's 
Westward  Ho  ! 

Definite  introduction:  Ivanhoe,  I,  3,  4,  5,  etc.;  Last  of  the  Mohi- 
cans, 3,  9,  ii,  etc.  Definite  conchision:  Ivanhoe,  3,  6,  9,  etc. ;  Last  of 
the  Mohicans,  I,  9,  10,  etc.  Epistolary  form  (common):  Trollope's 
Can  You  Forgive  Her  ?  II,  4 ;  Bulwer's  Kenelm  Chillingly,  four  ex- 
amples. Semi-soliloquy:  Tolstoi's  Resurrection,  III,  40.  Monologue: 
Adam  Bede,  2.  Duologue:  Last  of  the  Mohicans,  5,  12,  19,  20,  21; 
Ivanhoe,  6,  15,  16,  20,  21,  28,  29.  Conversation:  Last  of  the  Mohicans, 
4;  Ivanhoe,  5,  7;  Silas  Marner,  6.  Set  dramatic  form:  Fielding's 
Jonathan  Wild,  III,  8.  Intercalated  reverting  narrative:  The  Resur- 
rection, I,  2,  37;  Adam  Bede,  45.  Essay:  Frequent  in  Fielding, 
especially  in  the  first  chapters  of  books ;  Notre  Dame  de  Paris,  III,  2 ; 

V,  2. 

Chapter  groups  occur  in  nearly  every  novel,  sometimes  marked 
definitely  in  the  external  structure,  as  in  Stevenson's  Black  Arrow, 
"  The  Good  Hope,"  "  The  Good  Hope  Continued,"  "  The  Good  Hope 
Concluded";  and  in  Trollope's  Barchester  Towers,  'Ullathorne  Sports, 
Act  I,  Act  II,  Act  III.'  Other  examples  of  chapter  groups  are  found 
in  The  Virginians,  II,  2  to  4,  intercalated  narrative]  Adam  Bede,  6  to 
8,  21  to  26,  27  and  28,  episodes ;  Tolstoi's  Resurrection,  II,  12  to  18, 
reverting  narrative  reminiscence. 

10.  The  Paragraph.  —  The  paragraph  in  the  novel  is 
more  flexible  than  in  most  forms  of  prose,  and  is  one  of 
the  elements  in  the  complexity  of  novelistic  structure.  It 


EXTERNAL   STRUCTURE  II 

may  be  differentiated  for  narrative,  descriptive,  dramatic, 
and  lyrical  service,  and  these  functions  change  often  in  the 
typical  novel.  The  paragraph  has  undergone  great  devel- 
opment in  the  course  of  its  history.1  In  the  early  romance 
it  is  frequently  exceedingly  long,  and  without  artistic  unity 
(Boyle's  Parthenissa  contains  one  of  over  fourteen  thou- 
sand words),  while  in  some  of  the  recent  short  story  writers 
there  is  an  almost  abnormal  consciousness  of  paragraph 
value.  In  general,  the  shorter  the  composition,  the  more 
significant  the  paragraph  division.  There  is  great  range 
of  length  in  the  typical  novel.  In  Silas  Marner  the  short- 
est paragraph  is  a  dramatic  speech  of  two  words — "That's 
ended,"  Chapter  XX;  the  longest,  a  third-person  narrative 
episode  of  five  hundred  words  in  Chapter  IV. 

As  in  real  life,  careful  attention  to  paragraph  structure 
is  not  characteristic  of  conversation,  but  of  artificial  written 
speech,  the  realistic  novel  is  not  inclined  to  elaborate  it 
in  dialogic  passages.  Its  chief  technical  use,  in  this  par- 
ticular, is  to  set  off  the  single  speech,  the  connectives,  and 
the  author's  comment.  In  the  romance  and  romantic 
novel,  however,  it  may  be  devoted  to  poetical  purpose, 
even  approaching  the  structure  and  value  of  the  stanza. 
Other  important  functions  of  the  paragraph  are  generali- 
zation ;  transition  from  one  action  or  character  to  another ; 
characterization ;  setting  ;  motivation ;  foreshadowing  and 
preparation  ;  summary  of  situation,  etc. 

The  very  short  paragraph  is  often  effective  for  striking  dramatic  or 
sensational  emphasis.  Such  usage  is  characteristic  of  Hugo.  It  also 
aids  rapidity  and  isolation  of  incident  in  narrative  passages.  Various 
effects  of  symmetry,  monotony,  climax,  may  be  gained  by  the  careful 
construction  of  a  series  of  paragraphs.  Occasionally  in  compositions 

1  See  E.  H.  Lewis's  History  of  the  English  Paragraph,  1894. 


12  THE   STUDY   OF   A  NOVEL 

d  passages  of  a  lyrical  character  a  paragraph  is  repeated  in  substance 
or  verbatim,  as  a  sort  of  leit-motif  or  refrain.  Examples  are  found  in 
d'Annunzio's  Triumph  of  Death  and  in  Dombey  and  Son. 

ii.  Minor  Divisions.  —  The  main  text  of  a  novel  is  fre- 
quently accompanied  by  one  or  more  of  the  following 
accessories  :  critical  or  fictitious  preface ;  dedication  ;  lists 
of  dramatis  personae;  annotation;  historical  document; 
epilogue,  etc. 

The  fictitious  preface  may  relate  to  the  author,  to  the  novel  itself, 
or  to  almost  independent  incidents  and  characters.  One  of  its  special 
services  is  to  introduce  the  illusion  of  the  imaginary  manuscript; 
another  to  explain  the  initial  circumstances  of  a  voyage  imaginaire. 
A  study  of  the  fictitious  prefaces  of  Scott  will  reveal  most  of  the  con- 
ventions, powers,  and  limitations  of  the  form.  Examples  are  found  in 
Quentin  Durward  (9000  words),  Rob  Roy,  Fortunes  of  Nigel,  Peveril 
of  the  Peak,  Tales  of  My  Landlord,  I  Promessi  Sposi,  Henry  Esmond, 
La  Nouvelle  Hdloi'se,  Castle  of  Otranto,  Holberg's  Iter  Subterraneum. 

Final  divisions,  like  epilogue,  etc.,  are  usually  brief.  They  may  recur 
to  the  fiction  of  the  preface,  as  in  the  "  peroration  "  of  Old  Mortality, 
or  outline  the  future  of  the  characters  and  action  of  the  novel,  or  gen- 
eralize on  the  picture  of  life  that  has  been  presented.  A  definitely 
stated  moral,  common  in  medieval  fiction,  is  rare  in  modern  fiction. 
One  occurs  at  the  close  of  the  Heart  of  Midlothian,  I  Promessi  Sposi, 
and  the  original  form  of  Balzac's  Peau  de  Chagrin. 

Lists  of  dramatis  persona,  with  some  slight  characterization,  are 
found  in  the  novels  of  Richardson  and  in  a  few  other  fictions.  Anno- 
tation of  the  main  narrative  by  a  fictitious  character  is  not  an  uncom- 
mon device,  and  is  often  an  effective  means  of  increasing  the  illusion 
of  reality.  It  is  used  in  Old  Mortality,  Esmond,  The  Virginians, 
Stevenson's  Master  of  Ballantrae.  Historical  document,  occasionally 
found  in  earlier  fiction,  may  be  most  conveniently  studied  in  Scott 
and  his  school.  The  novel  with  a  key  was  prominent  in  the  seven- 
teenth century  (heroic  romance ;  satire ;  political  fiction,  as  in  Barclay's 
Argenis)  ;  and  in  the  eighteenth  century,  with  its  fondness  for  the 
"  secret  history "  and  intrigues  of  the  aristocracy  (for  example,  Mrs. 
Hay  wood's  Memoirs  of  ...  Utopia). 


EXTERNAL   STRUCTURE  13 

12.  Prose  and  Verse.  —  In  realistic  novels  verse  enters 
mainly  as  a  subordinate  element,  either  to  aid  in  charac- 
terization, or  to  give  color  to  a  particular  time  or  place 
setting,  especially  in  historical  fiction.  Many  lyrics  are 
found  in  Scott's  romances.  Examples  of  more  recent 
realistic  use  are  found  in  Balzac's  Letters  of  Two 
Brides,  Sudermann's  Frau  Sorge,  Valera's  Comendador 
Mendoza.  The  logical  connection  of  the  verse  with  the 
action  and  the  degree  of  fusion  with  the  fictive  illusion  as 
a  whole  vary  considerably.  In  the  fictions  of  the  romantic 
movement,  at  the  beginning  of  the  last  century,  the  liberal 
use  of  verse  is  characteristic  of  the  lyrical  tendency  of  the 
period.  The  novelist  himself  was  frequently  a  poet,  and 
instinctively  selected  a  character  with  poetic  gifts  for  hero 
or  heroine;  or  his  desire  to  arouse  poetic  emotion  in  the 
reader  led  to  the  introduction  of  verse. 

Mrs.  RadclifiVs  titles  sometimes  include  the  phrase  "interspersed 
with  some  pieces  of  poetry.1'  Gaston  de  Blondeville  contains  a  poem 
of  about  five  hundred  lines ;  the  Mysteries  of  Udolpho  and  Romance 
of  the  Forest  each  has  some  fifteen  poems.  Other  fictions  with  the 
romantic  use  of  verse  are  Werther,  Ivanhoe,  Madame  de  StaeTs  Corinne, 
Andersen's  Improvisatore,  Bulwer's  Kenelm  Chillingly. 

In  the  romance  of  the  Middle  Ages  and  the  early  Re- 
naissance we  find  a  more  distinctly  structural  value  of  verse; 
though  there  is  no  literary  form  in  which  the  structural 
relations  of  prose  and  verse  are  definite.  The  nearest 
approach  to  such  relation  is  in  works  like  Dante's  Vita 
Nuova,  drama  of  the  Shakespearian  type,  and  the  pas- 
toral romance.  This  last  form  originated  in  the  classical 
metrical  pastoral,  and  always  retained  more  or  less  dis- 
tinctly a  prosimetrical  structure ;  usually  with  definite  pre- 
dominance of  verse,  as  in  Belleau's  Journee  de  la  Bergerie, 
or  of  prose,  as  in  Sannazaro's  Arcadia  and  Lodge's  Rosa- 


14  THE   STUDY   OF  A   NOVEL 

lind.  The  arrangement  is  always  an  alternation  of  prose 
and  verse.  In  the  romance  of  chivalry  as  a  distinct  type 
(it  is  often  combined  with  the  pastoral),  the  verse  is  in- 
herited from  the  metrical  romances  of  chivalry,  long  or 
short.  Akin  to  this  type  is  the  prosimetrical  saga;  for 
example,  the  Volsunga  Saga.  Some  of  the  tales  of 
William  Morris  revived  this  early  structure. 

EXAMPLES  OF  PROSIMETRICAL  STRUCTURE 

Per  cent  of  Verse  Per  cent  of  Prose 

Boccaccio's  Ameto 15  85 

Sannazaro's  Arcadia 28  72 

Sidney's  Arcadia 7.  93 

Cervantes'  Galatea 38  62 

Morris' House  of  the  Wolfings      .15  85 

Rhythmical  prose,  in  sustained  passages,  is  far  more 
characteristic  of  the  short  story,  the  romance,  and  roman- 
tic novel,  than  of  the  realistic  novel.  It  is  usually  in- 
troduced without  definite  structural  distinction,  but  is 
occasionally  found  in  more  formal  manner.  Important 
examples  are  found  in  the  Renaissance  attempts  to  com- 
bine the  values  of  poetry  and  prose,  as  in  Euphuism ;  and 
in  the  Ossianic  movement  of  the  eighteenth  century.1  In 
serious  imitation  of  epic  style  it  is  found  in  Gogol's  Taras 
Bulba;  in  burlesque  imitation,  in  Swift's  Battle  of  the 
Books,  and  in  passages  of  Fielding  and  Smollett. 

Mere  fragments  of  rhythmical  prose  may  of  course  occur  in  any  pas- 
sage of  heightened  lyrical  expression. 

Bulwer's  Rienzi,  Book  VII,  Chapter  7:  — 

"  Thrice  blessed  name !  Immortal  Florentine "  (perfect  "  iambic 
pentameter"). 

1  See  Riemann's  Goethes  Romantechnik,  pp.  145  ff. 


EXTERNAL   STRUCTURE  15 

"  I  tell  thee,  Brettone,  that  this  loose  Italy  has  crowns  on  the  hedge 
that  a  dexterous  hand  may  carry  off  at  the  point  of  the  lance  ! " 
("  anapestic  coloring  ") . 


13.  Dramatic  and  Non-dramatic  Form.  —  All  language 
that  is  supposed  to  belong  to  a  character,  historical  or  Ac- 
tive, other  than  the  author,  may  be  considered  "  dramatic." 
The  author's  own  language  when  fictitious,  as  in  imag- 
inary dialogue  with  a  character,  may  also  be  included. 
Language  supposed  to  be  reproduced  with  only  partial 
accuracy  may  be  called  "  semi-dramatic."  When  dramatic 
language  within  dramatic  language  occurs,  as  in  the  dia- 
logue of  epistolary  novels,  the  including  form  may  be 
distinguished  as  "primary,"  the  included  as  "secondary." 
This  arrangement  is  characteristic  of  the  novel,  and 
one  of  the  elements  of  complexity  in  its  structure.  For 
convenience,  all  language  presented  as  spoken  may  be 
called  "  dialogic ;  "  all  presented  as  written,  "  document- 
ary." 

A  conscious,  sustained  alternation  of  dramatic  and  non-dramatic  form 
is  characteristic  of  both  epic  and  novel.  The  difference  between  the 
two  types,  in  this  particular,  consists  largely  in  the  less  frequent  change 
from  one  form  to  the  other  in  the  epic,  resulting  in  a  much  less  compli- 
cated structure.  The  approximate  number  of  transitions  in  Beowulf  is 
90 ;  in  Paradise  Lost,  350 ;  in  so  short  a  fiction  as  Tolstoi's  Master  and 
Man,  625. 

Different  novels  show  very  various  proportion  and  dis- 
tribution between  the  two  forms,  indicative  of  great  dif- 
ferences in  the  general  nature  of  the  compositions.  The 
three  tendencies  toward  emphasis  on  the  dramatic,  empha- 
sis on  the  non-dramatic,  and  equivalence  of  the  two  may 
be  expressed  by  the  simple  formulas :  Narrative-DRAMA ; 
Dramatic-NARRATivE ;  Dramatic-Narrative. 


16  THE   STUDY    OF   A   NOVEL 

Per  cent  of  Per  cent  of 

Narrative-DRAMA  Dramatic  Form  Non-dramatic 

Theagenes  and  Chariclea ....  60  40 

Book  of  Ruth 60  40 

Paradise  Lost 60  40 

Dramatic-NARRATiVE 

Bride  of  Lammermoor 40  60 

Tolstoi's  Master  and  Man      .     .     .  35  65 

Goethe's  Wahlverwandtschaften      .  35  65 

Silas  Marner 25  75 

Defoe's  Plague  Year 5  95 

(This  exemplifies  Defoe's  strong  tendency  toward  pure  narrative. 
Of  course  the  entire  Plague  Year  is  dramatic,  as  purporting  to  be 
written  by  a  fictitious  character.) 

Dramatic-Narrative 

Sense  and  Sensibility  .O.     .     .     .  45  55 

14.  Non-dramatic  Form.  —  In  decided  subordination  to 
dramatic  form,  the  non-dramatic  may  precede,  accompany, 
or  follow  the  former.  An  extended  dialogue  usually  has  a 
definite  introduction  and  conclusion,  as  well  as  intercalated 
comment.  In  Silas  Marner,  Chapter  VI  is  introduced  by 
the  first  paragraph  of  that  chapter  and  the  last  of  Chapter  V. 

In  this  chapter  the  longest  comment  is  in  paragraphs  17,  29,  and  41 
—  relatively  short  passages.  The  merely  mechanical  dialogic  connec- 
tives are  essential  to  clearness  in  complicated  dialogue,  but  are  some- 
times omitted  in  simple  dialogue.  Scott  writes  in  Chapter  I  of  the 
Bride  of  Lammermoor  of  the  "everlasting  'said  he's 'and  'said  she's'" 
of  his  preceding  novels.  There  are  some  fifty  merely  mechanical  con- 
nectives in  Chapter  VI  of  Silas  Marner ;  over  thirty  of  them  following 
the  monotonous  form,  «  said  Mr.  Macey,"  "  said  the  landlord,"  etc. 

In  more  independent  use,  non-dramatic  language  appears 
with  characteristic  structural  value,  and  often  with  approach 
to  fc  set  form,  for  narration  of  action  not  directly  repre- 
sented, intercalated  narrative,  transition  from  one  character,  * 


EXTERNAL   STRUCTURE  17 

setting,  or  action  to  another,  statement  of  situation,  exposi- 
tion, generalization,  aside  to  reader,  lyrical  expression,  de- 
scription of  settings  and  characters,  etc. 

15.  Dialogic  Form  in  General.  —  Dialogue  in  a  generic 
sense  includes  soliloquy,  monologue,  duologue,  group  con- 
versation (which  may  for  brevity  be  called  simply  conver- 
sation), and  concerted  speech.     In  the  novel  these  forms 
shade  off  gradually  from  the  non-dramatic.     The  speech 
of  a  character  may  be  represented  so  as  to  give  merely  the 
substance  of  the  thought;  or  in  complete  quotation,  with 
accompanying    comment,    etc.     Occasionally   dialogue    is 
found  in  "set  dramatic  form,"  the  names  of  the  speakers 
placed  as  in  the  text  of  drama. 

Set  dramatic  form  has  some  special  interest  in  connection  with^the 
technical  and  theoretical  relations  of  the  novel,  the  drama,  and  literary 
dialogues  like  Ascham's  Toxophilus,  Walton's  Complete  Angler,  etc. 
In  shorter  fictions  it  is  sometimes  the  chief  form,  as  in  Bunyan's  Mr. 
Badman;  in  the  novel  it  rarely  occurs  except  in  brief  passages. 
Examples  are  found  in  Pilgrim's  Progress,  the  Holy  War,  Defoe's 
Plague  Year,  Colonel  Jacque,  and  Robinson  Crusoe,  Fielding's  Jona- 
than Wild,  Pamela,  etc.  Scott  introduces  it  only  in  the  dramatic  pref- 
aces of  The  Fortunes  of  Nigel  and  Peveril  of  the  Peak. 

16.  Soliloquy  and  Monologue.  —  In  soliloquy,  in  a  strict 
sense,  the  speaker  is  alone,   or  supposes  himself  to  be 
alone  ;  in  monologue  he  may  have  any  number  of  listeners. 
In  the  novel,  extended,  formal  use  of  either  (sometimes 
they  are  given  distinct  headings,  as  in  Lodge's  Rosalind, 
Sidney's  Arcadia,  and   Lyly's   Euphues)  is  rarely  found 
except  in  earlier  fiction,  where  it  is  probably  imitative  of 
dramatic  and   epic   usage.     Semi-dramatic   soliloquy  and 
monologue,  on  the  other  hand,  are  characteristic  of  the 
novel  at  any  period.     The  most  common  monologue  is 
that  which  develops  in  the  course  of  a  duologue  or  con- 


1 8  THE   STUDY   OF   A   NOVEL 

versation ;  especially  in  the  form  of  intercalated  narrative. 
Fictions  in  the  /-form  are  technically  monologic  through- 
out, whether  supposed  to  be  spoken  (dialogic)  or  written 
(documentary),  but  as  a  matter  of  convention  they  fre- 
quently include  as  much  dialogue,  in  as  distinct  a  form, 
as  other  types. 

17.  Duologue.  —  This  may  be  considered  the  standard 
dramatic  form   of  the  novel.     Its   predominance   is   due 
partly  to  its  importance  in  actual  life  ;  partly  to  the  influ- 
ence of  drama,   epic  and  didactic  dialogue;  partly,  per- 
haps, to  the  relative  ease  with  which  it  may  be  written,  as 
compared  with  conversation.     In  Silas  Marner  there  are 
some  twenty  duologues  and  only  some  seven  or  eight  dis- 
tinct conversations.     When  the  single  speeches  and   the 
author's  comment  are  given  in  separate  paragraphs,  the 
structure  of  a  duologue  appears  at  a  glance.     It  tends 
on  the  one  hand  to  pass  into  monologue  ;   on  the  other 
to  become  isometric.     The  latter  structure  is  sometimes 
found  in  early  fiction  in  almost  as  formal  manner  as  in 
the  stichometric  passages  of  epic,  dramatic,  and  pastoral 
verse,  but  it  is  too  artificial  for  realistic  effect. 

The  merely  mechanical  connectives  are  not  so  essential  in  duologue 
as  in  conversation.  The  novelist  is  free  to  interrupt  the  duologue  at 
will  by  brief  or  extended  comment,  but  as  a  member  of  a  trio  he  may 
appear  more  prominent  to  the  reader  than  as  a  member  of  a  larger 
group  of  speakers.  Comment  between  speeches  is  of  course  less  emphatic 
than  that  which  interrupts  a  speaker.  The  mechanical  structure  of 
Chapter  III  of  Silas  Marner  is  as  follows:  Dunstan  Cass  speaks  15 
times,  66  lines ;  Godfrey  Cass,  14  times,  54  lines ;  the  author,  13  times 
(interrupting  a  speech  6  times),  64  lines.  This  duologue  is  therefore 

decidedly  novelistic  rather  than  dramatic. 

I 

1 8.  Group    Conversation   (Conversation).  —  A  sustained, 
realistic  conversation  of  even  three  speakers  is  much  more 


EXTERNAL   STRUCTURE  19 

difficult  to  compose  than  duologue,  is  a  sign  of  true  dra- 
matic imagination,  and  a  distinguishing  mark  of  great 
novelistic  technic.  The  complexity  of  its  structure  is  due 
chiefly  to  the  great  possible  variety  in  sequence  and  length 
of  speeches,  and  of  connectives  and  comment.  In  the 
simplest  form  of  purely  dramatic  conversation  —  three 
speakers  with  two  speeches  each  —  there  are  twenty-four 
possible  sequences. 

In  the  chief  conversational  chapter  of  Silas  Marner,  Chapter  VI,  A 
speaks  10  times,  D  10,  C  11,  D  12,  E  4,  F  4 — a  total  of  51  speeches  by 
the  characters.  The  author,  omitting  purely  mechanical  connectives, 
speaks  38  times. 

Viewing  the  entire  dramatic  speech  of  a  composition  as  a  conversa- 
tional form,  interesting  comparison  may  be  made  between  the  epic, 
drama,  and  novel.  Number  of 

single  speeches 

Beowulf 45 

Paradise  Lost 175 

Master  and  Man 350 

Silas  Marner          .......  530 

The  Tempest 650 

19.  Concerted  Speech.  —  By  concerted  speech  is  meant 
the  utterance  of  the  same  words  by  several  speakers  at 
once.  In  the  novel,  simultaneous  utterance  of  different 
words  must  of  course  be  represented  in  sequence.  In  set 
form,  this  detail  is  far  more  characteristic  of  the  drama 
than  the  novel,  and  is  possibly  a  relic  of  the  classical 
chorus. 

It  occurs  scores  of  times  in  Shakespeare,  notably  in  Coriolanus,  and 
its  unnatural  use  is  one  of  the  minor  blemishes  of  Browning's  dramatic 
technic.  It  is,  however,  occasionally  found  in  early  fiction,  probably  in 
direct  imitation  of  the  drama.  In  less  formal  manner  it  is  found  in 
most  novels ;  for  example,  in  Ivanhoe,  Chapters  XI,  XIII,  XXXIII, 
XLIV,  and  in  the  Last  of  the  Mohicans,  Chapter  XXIX. 


20  THE   STUDY   OF   A  NOVEL 

20.  Documentary  Form  in  General.  —  Perhaps  the  most 
notable  general  effect  of  document  is  to  increase  verisimili- 
tude.    The  novel  itself  being  an  actual  document,  possibly 
the  imagination  more  readily  accepts  fictitious  document 
than  fictitious  dialogue.     Documentary  form  is  found  in 
the  earliest  novels,  —  the  Greek  romances,  —  but  has  in- 
creased use,  with  special  force  and  naturalness,  since  the 
invention  of  printing.     As  a  fragment  it  may  appear  in 
very  various  forms  —  letter,  newspaper  extract,  inscription, 
legal  document,  map,  musical  score,  etc.,  etc.     The  most 
important  examples  of  sustained  documentary  form  are  the 
epistolary  novel,  the  diary  novel,  and  the  imaginary  manu- 
script. 

Each  of  these  types  has  some  conventional  details  of  structure,  as  for 
example  the  illegible  or  missing  portions  of  the  imaginary  manuscript ; 
the  forged  or  missent  letter,  etc.  In  all  of  them  the  introduction  of 
formal  dialogue  is  a  convention  which  the  reader  accepts  on  faith ;  and 
in  general,  the  documentary  illusion  is  rarely  continuous. 

In  English  fiction,  the  imaginary  manuscript  has  special  place  in 
the  latter  part  of  the  eighteenth  century.  See  Walpole's  Castle  of 
Otranto,  Beckford's  Vathek,  Clara  Reeve's  Old  English  Baron,  Mrs. 
Radcliffe's  Sicilian  Romance  and  The  Italian,  etc.  Scott  is  rather 
fond  of  it. 

21.  Epistolary  Form. — The   significant   origin   of    the 
"  novel  of  letters  "  is  usually  traced  to  Samuel  Richardson, 
though  there  was  abundant  literary  use  of  epistolary  form, 
in  fiction  and  out  of  it,  before  Pamela.1     Richardson  him- 
self was  quite  conscious  of  the  peculiarities  of  his  method 
(see  his  comparison  of  epistolary  and  narrative  method 
in  the  preface  to  Clarissa,  his  explanations  of  the  letter- 
writing  passion  of  Pamela,   etc.),  and  considerable  criti- 
cal discussion  of  the  epistolary  form  followed  his  novels 

1  See  Jusserand,  Roman  Anglais,  p.  49;  and  Cross,  p.  23. 


EXTERNAL   STRUCTURE  21 

at  once.  Analysis  of  epistolary  structure  may  follow  the 
general  method  given  for  dialogic  structure.  The  princi- 
pal structural  points  in  outline  are  the  number,  length, 
and  sequence  of  letters.  The  technical  difficulties  of  the 
form  are  numerous.  Neither  Pamela  nor  Clarissa  is  ab- 
solutely epistolary  in  text,  and  Richardson  gives  lists  of 
dramatis  personae,  with  some  characterization,  arguments, 
etc.,  outside  the  text  proper.  An  interesting  example  of 
the  breakdown  of  epistolary  form  is  found  in  Scott's 
Redgauntlet. 

The  chief  theoretical  forms,  often  combined  in  the  actual  novel,  may 
be  formulated  as  follows :  — 

1.  Letters  from  A  to  B.     (Compare  the  monologue.) 

2.  Correspondence  between  A  and  B.     (Compare  the  duologue.) 
Examples  are  Dostoyevsky's  Poor  Folk,  and  Balzac's  Letters  of  Two 
Brides. 

3.  Letters  from  A  to  B,  C,  etc.     (Epistolary  monologue  in  a  sense, 
but  clearly  quite  different  from  the  oral  monologue.) 

4.  Letters  from  B,  C,  etc.,  to  A. 

5.  Correspondence  between  A  and  B,  A  and  C,  etc. 

6.  Real  "group-correspondence,"    in   which  each   member  of  the 
group  exchanges  letters  with  each  of  the  others. 

The  general  epistolary  structure   may  be  partially  represented   by 
a  graphic  design.     In  Miss  Burney's  Evelina  the  scheme  is  as  follows, 
A  standing  for  Evelina,  B  for 
Mr.    Villars,   etc.;   the  figures, 
for  the  number  of  letters  sent 

Other  examples  of  epistolary 
novels  are:  Goethe's  Werther, 
Foscolo's  Jacopo  Ortis,  Madame 
de  StaeTs  Delphine,  Valera's 
Pepita  Jimenez.  Novels  "  in  a 
series  of  letters11  are  specially 
common  in  the  English  fiction  of  the  latter  half  of  the  eighteenth  cen- 
tury, owing  mainly  to  the  influence  of  Richardson. 


22  THE   STUDY   OF   A  NOVEL 

22.  Syntax.  —  There  is  a  more  or  less  specialized  syntax 
for  descriptive,  expository,  narrative,  argumentative,  and 
lyrical  expression.  The  novel  is  chiefly  characterized  by 
a  complex  combination  of  these  variations,  and  specially 
by  contrast  between  the  dramatic  and  non-dramatic  pas- 
sages, and  differentiated  syntax  for  individual  characters 
and  character  groups.  The  non-dramatic  syntax  is  partly 
determined  by  the  type  of  fiction  and  the  rhetorical  nature 
of  the  passage,  partly  by  the  general  influence  of  the 
period,  the  nationality  and  the  individuality  of  the  author. 
A  few  details  are  given  here  merely  as  examples  of  syn- 
tactical analysis. 

Variations  of  mood  and  tense  are  often  significant.  Direct  inter- 
rogative and  imperative  to  the  reader  may  serve  to  enlist  his  sympathy, 
otherwise  determine  his  point  of  view,  or  to  increase  the  illusion  of 
reality.  The  historical  present  is  common  in  spirited  narration,  espe- 
cially in  romance.  A  combination  of  perfect  and  present  tenses  is 
effective  in  this  sentence  from  George  Eliot's  Janet's  Repentance: 
"  But  Mr.  Tryan  has  entered  the  room,  and  the  strange  light  .  .  . 
makes,"  etc.  The  rare  interrogative  future  easily  becomes  sensational. 
This  sentence  is  found  in  Chapter  XII  of  George  Eliot's  Mr.  Gilfil's 
Love-story  (emphasized  by  being  made  a  paragraph):  "Will  she 
crush  it  under  her  feet  .  .  .  till  every  trace  of  those  false,  cruel  features 
is  gone?  "  There  are  several  examples  of  imperative  to  a  character  in 
Dombey  and  Son. 

Somewhat  characteristic  of  the  novel  are  epithetical  phrases  or  typi- 
cal names  for  characters,  groups,  and  places :  The  Last  of  the  Roman 
Tribunes,  Dona  Perfecta,  The  Weaver  of  Raveloe,  Poor  Silas,  Pretty 
Nancy,  The  Mill  on  the  Floss,  Old  Mortality,  The  Man  of  Feeling, 
The  Female  Quixote,  The  English  Rogue.  Here  may  be  included  the 
various  names  for  the  same  character  in  disguise  as  in  Amadis  of  Gaul, 
Sidney's  Arcadia,  Lodge's  Rosalind. 

The  syntactical  qualities  of  irony,  as  in  Jane  Austen ; 
of  satire,  as  in  Rabelais ;  of  serious  imitation,  as  in  Gogol's 
Taras  Bulba ;  of  burlesque  imitation,  as  in  the  pseudo-epic 


EXTERNAL   STRUCTURE  23 

style  of  The  Battle  of  the  Books,  may  all  be  analyzed  into 
characteristic  details. 

Figurative  language  depends  to  a  considerable  extent 
upon  syntax.  Expanded  figures,  especially  the  more  im- 
aginative figures  of  personification,  apostrophe,  and  the 
continuous  figurative  language  of  allegory  and  symbolism, 
are  more  characteristic  of  both  short  story  and  romance 
than  of  the  realistic  novel.  The  romance  of  chivalry  and 
the  heroic  romance  are  characterized  by  extended  figures. 
When  occurring  in  picaresque  fiction  and  its  allies,  the 
figurative  language  is  usually  burlesque  in  spirit.  In  Silas 
Marner,  as  a  representative  realistic  story,  the  figures, 
whether  those  in  the  dramatic  or  non-dramatic  passages, 
rarely  extend  beyond  a  single  sentence,  and  are  most  com- 
monly compressed  into  a  single  clause  or  phrase.  They 
are  generally  simple  similes  or  metaphors. 

Other  details  are  the  dialogic  connectives,  noticed  in  Section  14; 
catalogues  and  lists  of  articles  like  the  romances  in  Don  Quixote, 
the  games  in  Gargantua  (Rabelais)  ;  the  argumentative  or  expository 
i,  2,  3  order  in  Bunyan  and  Defoe.  A  repeated  word  or  phrase  is 
sometimes  found  to  give  somewhat  the  effect  of  a  leit-motif,  as  in  the 
repetitions  of  "  black  remnant,"  "  bright  living  thing,"  "  flame,"  and 
"vision"  in  Chapter  XII  of  Silas  Marner. 

The  dramatic  syntax  varies  with  the  dialogic,  epistolary 
and  other  documentary  form.  In  the  historical  novel,  the 
syntax  of  special  periods  is  important;  in  the  novel  of 
manners,  that  of  social  groups ;  in  the  novel  of  character, 
the  syntax  of  the  individual  and  his  changing  mental  states. 
The  control  of  syntactical  details  in  all  these  cases  is  more 
difficult,  and  in  general  more  significant,  than  the  mere 
selection  of  vocabulary. 

Scott's  theory  of  the  shaping  of  language  in  historical 
fiction  is  given  in  the  dedicatory  epistle  of  Ivanhoe  and 


24  THE   STUDY   OF   A   NOVEL 

elsewhere.  He  combines  the  specialized  language  of  a 
period  and  social  class  with  language  that  "  belongs  to  all 
ranks  and  all  countries,"  and  to  give  the  general  effect  of 
remoteness,  even  for  bygone  centuries,  finds  the  language 
of  a  few  generations  past  to  be  sufficient.  Thackeray,  in 
Esmond  and  The  Virginians,  represents  the  more  modern, 
more  realistic  fidelity  to  the  speech  of  a  past  period. 

Dialect,  while  specially  characteristic  of  the  nineteenth 
century,  has  considerable  place  in  much  earlier  fiction. 
In  the  picaresque  and  satirical  novel  of  the  Renaissance 
we  have  abundant  reproduction  of  the  "cant"  phrases  of 
the  thief,  the  lawyer,  doctor,  priest,  etc.  A  famous  ex- 
ample of  an  original  introduction  of  the  terms  of  a  special 
craft  is  found  in  the  seaman's  language  of  Smollett. 

Simple  examples  of  the  use  of  syntax  to  individualize  characters 
are  found  in  the  third  person  plural  with  which  Dolly  Winthrop  refers 
to  the  Deity  (Silas  Marner)  ;  the  parenthetical  sentences  of  Bulwer's 
Squire  Brandon  (Paul  Clifford),  and  in  Dickens,  who  frequently  uses 
the  "gag"  with  the  effect  of  caricature.  George  Meredith  is  a  promi- 
nent example  of  a  novelist  (as  Browning  is  of  a  dramatist)  whose  own 
personal  syntactical  habits  overshadow  the  utterances  of  his  characters.1 

One  may  conveniently  note  here  typographical  'variations  for  artistic 
effects.  Italics  are  characteristic  of  sentimentalism,  and  are  common 
in  Richardson  and  his  followers.  They  are  used  in  early  fiction  to 
distinguish  proper  names.  Bulwer  is  fond  of  italics,  small  capitals, 
dashes,  and  exclamation  points.  Sterne  and  other  humorists  use  typo- 
graphical devices  for  comic  effects. 

In  the  history  of  the  English  novel,  the  syntax  of  Eu- 
phuism has  perhaps  been  given  the  most  close  analysis. 
A  few  examples  of  characteristic  vocabulary  and  syntax 
of  other  well-marked  historical  types  may  be  suggestive. 

1  For  examples  of  study  of  the  syntactical  peculiarities  of  individual  novel- 
ists, see  Brunetiere  on  Bourget  (Roman  Naturaliste),  Cross  on  Stevenson, 
and  Professor  F.  N.  Scott's  editorial  introduction  to'Rasselas. 


EXTERN  KRUCTURE  2$ 

1.  Heroic  Romance.     Its  formal  phrasing  is  shown  by  these  chance 
selections    from    Boyle's    Parthenissa  :    "  unintermitted   obligations  "  ; 
"  passionate    conjurations    of   a   meritorious    servant  "  ;    "  accessional 
force  in  so  ambitionecj  a  victory."     Its  complicated  sentence  structure 
may  be  indicated  by  the  fact  that  Parthenissa  contains  sentences  of 
over  two  hundred  and  fifty  words. 

2.  Ossianic  figure  and  Gothic  phrasing  may  be  exemplified  from 
James  White's  Earl  Strongbow  (1789):   "Like  the  thunder  when  it 
smites  the  stupendous  head  of  Snowdon,  or  roars  amidst  the  cliffs  and 
woody  pinnacles  of  Plinlimmon  "  ;  "A  range  of  reverend  towers  .  .  . 
enveloped  in  ivy  "  ;  "  It  was  a  mansion  sacred  to  silence  and  repose  "  ; 
"  worm-eaten  timbers  and  rusty  hinges  "  ;  "  dim  Gothic  window." 

3.  The    "  sentimental   school"    of    the    later    eighteenth    century. 
From  Brooke's  Juliet  Grenville  ;  or,  the  History  of  the  Human  Heart  : 
"  drowned  in  tears,"  "brimming  tears";  "flood  of  tears";  "tears  of 
grateful  sensibility"    (this  same  phrase  occurs  in  Catherine  Parry's 
Eden  Vale  ;   compare  Morley's  introduction  to  the  Man  of  Feeling, 
Cassell's   National   Library)  ;    "  alarming   transports  "  ;    "  transport  of 
tender  endearment  "  ;  "  paradisiacal  delirium  of  infantile  deliciousness." 
Compare  Section  5. 


23.  Vocabulary.  —  So  far  as  the  novelist  creates  words, 
or  selects  or  modifies  them  for  definite  artistic  'purpose, 
they  may  be  considered  structural  elements.  Considered 
as  narrative,  the  novel  employs  the  power  of  words  to 
accelerate,  retard,  produce  suspense,  surprise,  climax, 
etc.  ;  as  description,  it  has  been  prominent  in  the  selection 
and  determination  of  a  specialized  vocabulary  for  interiors, 
landscapes,  physiognomy,  the  sensations  and  emotions  of 
the  individual,  and  the  mental  states  of  society.  As  a 
general  type,  it  is  characterized  by  range  and  variety  of 
vocabulary  ;  contrast  of  dramatic  and  non-dramatic  words  ; 
combination  and  differentiation  of  the  vocabularies  of 
individuals  and  social  groups. 

Creative  vocabulary  has  been  a  special  feature  of  the 
voyage  imaginaire  and  of  allegory.  There  are  abundant 


26  THE   STUDY  pF   A   NOVEL 

examples  in  Campanella's  City  of  the  Sun,  Gulliver, 
Paltock's  Peter  Wilkins,  Pilgrim's  Progress,  etc.  Dialectic 
vocabulary  has  been  prominent  in  picaresque  fiction,  satire, 
and  the  novel  of  manners.  Glossarial  explanation,  not 
unknown  in  Renaissance  fiction,  expands  till  for  the  Waver- 
ley  Novels  a  glossary  of  some  two  thousand  words  is  neces- 
sary. In  general,  the  novelist  has  been  a  radical  in  the 
use  of  words  —  an  iconoclast  and  a  neologist.  The  aesthetic 
connotation  of  many  such  words  as  Gothic,  sensibility, 
novel,  romance,  romantic,  picturesque,  picaresque,  hero,  soul, 
etc.,  has  been  largely  determined  by  the  usage  of  the 
novel. 

The  mere  names  in  a  novel  are  often  suggestive  of  the  general  type 
of  the  fiction.  Compare  the  names  of  the  characters  of  White's  Earl 
Strongbow  (Gothic  historical  romance),  "Richard  Fitzwalter,"  "Sir 
Reginald  Fitzalan,"  "O'Carrol  of  Uriel,"  etc.;  of  Boyle's  Parthenissa 
(heroic  romance),  "Artabanes,"  "Izadora,"  4< Callimachus,"  etc.;  of 
Ingelo's  Bentivolio  and  Urania  (didactic  allegory},  "Alethion  and 
Agape,"  "  Theosebes  and  Urania,"  "  Panaretes  and  Irene,"  with  those 
of  a  picaresque  novel,  a  modern  novel  of  manners,  etc. 

A  study  of  special  value  and  wide  scope  is  suggested 
by  the   general  theory  of   Stoddard's   Evolution   of   the 
English   Novel  —  the  development  of   interest   from  the 
physical  to  the  spiritual.     The  modern  novel  shows  even 
\  in  its  vocabulary  a  richer  aesthetic  result  in  the  exploration 
|  and  combination  of  these  two  interests  than  any  other  form 
Aof  prose  literature.    One  may  profitably  analyze  the  vocab- 
'ulary  of  form,  color,  movement  (the  power  of  visualization 
is  often  mentioned  as  a  chief  essential  of  the  great  fiction- 
ist),  sound,  touch,  of  vague  inner   sensation,  as  in  swoon, 
dream,  and  delirium  ;  comparing  it  with  the  vocabulary  of 
emotion,  thought,  and  volition.     In  both  cases  the  develop- 
ment of  the  exact,  concrete  word  has  been  remarkable. 


EXTERNAL   STRUCTURE  27 

24.  Phonology.  —  Such  structural  details  as  alliteration, 
assonance,  melody,  pitch,  time,  etc.,  may  be  included  under 
this  term.  Rhythm  has  been  briefly  noticed  in  Section  12. 
Phonetic  effect  for  its  own  sake  is  not  characteristic  of  the 
novel,  as  it  is,  to  some  extent,  of  the  romance  and  certain 
types  of  short  story.  When  the  sound-value  is  emphasized, 
the  values  of  characterization,  action,  setting,  and  thought 
are  liable  to  become  dim.  But  as  a  means  to  a  less  purely 
aesthetic  end,  the  novelist  explores  every  power  of  phonetic 
combination.  In  narration  the  clash  of  consonants  or  the 
swiftness  of  vowel  sequences  are  important  agencies ;  in 
description  onomatopoetic  effects  may  be  introduced,  or 
general  impressions  of  beauty,  ugliness,  simplicity,  or  com- 
plexity emphasized  by  an  appropriate  arrangement  of 
sounds. 

It  is  in  dramatic  characterization,  perhaps,  that  the  most 
significant  or  characteristic  use  of  phonetic  resources  is 
found  in  the  novel.  One  has  only  to  recall  the  wide 
variations  in  the  reading  aloud  of  the  same  dramatic 
passage  by  different  persons  to  realize  the  importance  of 
this  point.  Alliteration,  consonantal  friction,  etc.,  may  be 
important  indications  of  the  mental  condition  of  a  speaker, 
especially  in  highly  emotional  states. 

Compare  the  degrees  and  manner  in  which  the  novelist  determines 
the  details  of  utterance  in  these  passages  from  Chapter  XIV  of  George 
Eliot's  Janet's  Repentance  :  — 

i.  tlt  Janet  !'  The  loud  jarring  voice,"  etc.  2.  ltt  Perhaps  he  would 
kill  her.'"  3.  "Til  cool  your  hot  spirit  for  you.  I'll  teach  you  to 
brave  me.1 "  4.  "  '  Let  him.  Life  was  as  hideous  as  death.' " 


CHAPTER  II 
CONSECUTIVE   STRUCTURE 

25.    Significance    of    Consecutive    Structure.  —  A   novel 

may  be  simply  and  conveniently  considered  as  a  series  of 
parts,  each  with  its  own  identity,  value,  and  relation  to  the 
whole  series.  The  chief  significance  of  this  consecutive 
structure  is  threefold  :  it  gives,  in  the  main,  the  order  in 
which  the  novelist  composed,  though  the  original  concep- 
tion may  be  found  in  the  catastrophe,  and  there  are  often 
other  variations ;  it  is  the  natural  order  in  which  the  reader 
becomes  acquainted  with  the  novel ;  and  it  is  a  very  impor- 
tant aesthetic  aspect  of  the  work  itself,  especially  as  a  nar- 
rative. As  a  sequence  of  divisions  shown  to  the  eye,  the 
series  is  in  a  sense  spatial ;  and,  though  much  more  definite, 
if  a  building  is  considered  as  a  whole,  may  be  compared 
with  architectural  series.  As  a  sequence  of  sounds,  it  is 
essentially  temporal;  and,  though  in  many  respects  less 
definite,  may  be  compared  with  musical  series.  These  two 
aspects  are  exactly  those  which  have  been  examined  under 
"  external  structure  "  ;  but  a  novel  also  presents  a  series  of 
images,  emotions,  and  thoughts,  belonging  to  what  may  be 
called,  for  contrast,  the  "internal  structure." 

Except  in  the  scientific  and  practical  sense  in  which  we 
grasp  several  elements  at  once,  every  detail  of  sound, 
imagery,  and  thought  in  the  entire  novel  comes  to  us  at 
some  definite  point  in  the  series.  Ordinarily  one  does  not 
attempt  to  "  realize  "  the  minute  details  of  either  sound  or 
meaning ;  though  for  special  purposes  a  passage  may  be 


CONSECUTIVE   STRUCTURE  29 

examined  syllable  by  syllable.  It  is  well  to  acquire  the 
power  to  outline  the  entire  structure  in  a  well-proportioned 
manner,  with  any  given  scale  —  to  review  the  same  novel, 
for  example,  in  ten  minutes  or  two  hours.  Thorough  ex- 
amination of  the  structure  consecutively  gives,  of  course, 
every  point  in  every  topic  of  study  based  on  the  actual 
text  of  the  novel ;  but  it  is  often  convenient  to  have  some 
special  topic  in  mind,  such  as  characters,  settings,  or  sub- 
ject-matter. 

26.  Sequence.  —  In  any  series  we  may  notice  the  mere 
sequence,  as  in  the  numerical  series  i,  2,  3,  etc.;  or  the 
deeper  relative  functions  of  the  members  of  the  series,  as, 
that  2  is  to  4  as  4  is  to  8,  etc.  In  the  study  of  a  novel, 
these  two  interests  are  certainly  not  entirely  distinct ;  but 
for  purposes  of  analysis  they  may  be  noticed  separately, 
to  some  extent. 

A  novel  may  be  considered  as  a  series  of  masses  com- 
posed of  points.  These  two  terms  do  not  need  absolute 
definition,  if  their  relative  values  are  kept  in  mind.  When 
a  considerable  number  of  points  referred  to  the  same  inter- 
est or  "topic"  are  grouped  together,  the  rhetorical  term 
in  mass  may  be  used ;  when  points  are  scattered,  the 
correlative  term,  in  solution.  Novels  and  novelists  differ 
greatly  in  their  use  of  these  two  methods,  but  in  general 
it  may  be  said :  most  of  the  chief  matters  of  interest  are 
found  to  some  extent  both  in  mass  and  in  solution  ;  the 
most  important,  as  characterization,  dialogue,  action,  tend 
to  be  treated  in  mass ;  the  less  important,  as  figures  of 
speech,  generalization,  asides  to  the  reader,  etc.,  in  solution. 
The  "  points "  of  any  one  interest  taken  consecutively 
throughout  the  composition  or  a  portion  of  it  may  be 
called  a  line. 


30  THE   STUDY   OF  A  NOVEL 

An  analysis  of  paragraphs  i  and  7  of  Chapter  II,  Silas  Marner,  not- 
ing some  principal  points  of  interest,  without  special  attention  to  any 
one  interest,  may  serve  as  an  example. 

PARAGRAPH  i. 

Plot.     Generalized  situation,  social  and  psychological,  of  hero. 
Settings.    Place  —  contrast  of  new  and  old ;  time  —  detail  of  morning. 
Characterization.    Generalization  of  hero  as  a  type. 
Subject-matter.    Exile,  memory,  religious  and  ecclesiastical  life. 
Comparative  Rhetoric.     Essay  and  lyrical  qualities. 
Genetic  Criticism.     Compare  treatment  of  religious  life  in  Scenes  of 
Clerical  Life  and  Adam  Bede. 

PARAGRAPH  7. 

Dramatic  Form.    "  W<?-form  "  ;  quotation  of  popular  opinion. 
Plot.     Situation-movement.     Foreshadowing  of  the  robbery. 
Settings.    Place  —  details  of  cottage ;  time  —  night. 
Characterization.     Hero  ;  Raveloe  rustics. 
Subject-matter.    Formation  of  habit. 

27.  The  Principal  Masses.  —  Masses  may  be  classified  or 
arranged  according  to  their  form  and  function  somewhat 
as  follows :  i.  Those  determined  by  external  structure 
(already  noticed  in  Chapter  I).  The  chapter,  or  in  closer 
analysis,  the  paragraph,  are  the  most  convenient  units  for 
the  examination  of  a  novel  from  any  point  of  view.  The 
sequence  of  dramatic  and  non-dramatic  form  is  of  large 
significance.  2.  Like  any  other  literary  composition,  the 
novel  should  show  a  more  or  less  distinct  "beginning, 
middle,  and  end."  3.  Rhetorical  form  determines  masses 
of  description,  narration,  lyricism,  etc.  4.  As  fiction,  the 
novel  may  show  masses  of  primary  and  secondary  illu- 
sion, and  some  masses  in  which  the  illusion  is  dropped. 
5.  What  may  be  called  by  distinction  "  novelistic  function  " 
determines  masses  of  characterization,  setting,  generaliza- 
tion, etc.  6.  The  specifically  narrative  masses  include 
movements,  —  episodes,  events,  incidents,  scenes,  —  and 


CONSECUTIVE   STRUCTURE  31 

situations.      7.    Some    masses    may   be  distinct   units   of 
subject-matter. 

28.  Sequence  of  Dramatic  and  Non-dramatic  Masses. — 
For  the  typical  novel  the  most  important  sequence  of  these 
forms  is  alternation  of  dialogic  and  non-dialogic  masses. 
Its  importance  has  been  already  suggested  (Section  13), 
and  the  analysis  may  be  made  at  that  point  in  the  study  if 
desired.  From  its  very  nature,  dialogue  is  usually  found 
distinctly  in  mass;  and  in  a  well-constructed  novel  it  is 
fairly  evenly  distributed.  The  greatest  practical  difficul- 
ties of  the  analysis  are  the  distinction  between  primary 
and  secondary  dramatic  form  (see  Sections  3  and  13),  espe- 
cially in  the  epistolary  novel ;  and  the  frequent  intricate 
mixture  of  dramatic  and  non-dramatic  form. 

Some  interesting  points  appear  in  this  somewhat  rough  outline  of 
the  comparatively  simple  structure  of  Silas  Marner.  The  numbers  are 
for  lines. 

i.  Non-dramatic  form  (semi-dramatic,  40),  325;  2.  Mixed  form, 
70;  3.  Non-dramatic  (semi-drainatic,  20,  30),  425;  4.  Mainly  DUO- 
LOGUE, 250 ;  5.  Mainly  non-dramatic,  600  ;  6.  Mainly  CONVERSATION, 
600;  7.  Non-dramatic,  75  ;  8.  Dramatic,  50 ;  9.  Non-dramatic,  100; 
10.  Mainly  DUOLOGUE,  200 ;  II.  Non-dramatic,  150  ;  12.  Mainly  dra- 
matic, 125  ;  13.  Non-dramatic  (some  semi-dramatic},  275  ;  14.  Mainly 
dramatic,  700;  15.  Mixed,  mainly  non-dramatic  (Conclusion),  100. 

In  a  novel  of  letters,  the  epistolary  sequence  and  the 
dialogic  may  be  analyzed  separately,  or  in  combination. 
Omitting  a  few  details,  the  epistolary  sequence  of  Evelina 
is  as  follows  :  — 

(A  =  Evelina ;  B  =  Mr.  Villars  ;  C  =  Lady  Howard  ;  D  =  Miss  Mir- 
van  ;  E—  Sir  John  Belmont.  The  numbers  are  for  letters.) 

i.  Exchange,  B  and  C,  7 ;  2.  A  to  B  (3,  B  to  A},  19;  3.  Mixed 
exchange,  A,  B,  C,  D,  E,  15  ;  4.  A  to  B  (2,  B  to  A),  15  ;  5.  A  to  D, 
5  ;  6.  A  to  B  (3,  B  to  A),  22. 


32  THE   STUDY  OF   A  NOVEL 

29.  Beginning,  Middle,  and  End.  —  In  scarcely  any  anal- 
ysis in  this  chapter  will  more  differences  of  opinion  arise 
than  just  at  this  point.  Even  when  the  author  marks  an 
"introduction"  or  "introductory  chapter,"  and  a  "conclu- 
sion," or  "  concluding  chapter,"  these  are  not  always  satis- 
factory divisions.  Prologues,  dramatic  prefaces,  epilogues, 
must  also  be  considered  (see  Section  n).  Ordinarily 
the  first  chapter  or  a  small  group  of  chapters  may  be  con- 
sidered as  the  beginning;  the  last  chapter,  or  last  few 
chapters,  as  the  end.  The  beginning  usually  includes 
definite  masses  of  initial  setting,  characterization,  situation, 
and  action.  Foreshortened  narrative  giving  a  summary 
of  the  preceding  part  of  the  story  is  specially  common. 
There  may  be  distinct  introduction  or  foreshadowing  of 
theme.  Frequently  there  are  masses  of  initial  motivation ; 
of  dialogue  or  specific  incident  followed  by  more  general 
exposition  or  narrative,  or  vice  versa.  The  "end"  of  a 
novel  includes  the  catastrophe  of  the  plot;  frequently  a 
presentation  of  the  chief  characters  in  a  situation  giving 
the  effect  of  permanence  and  finality.  In  some  novels 
there  is  considerable  suggestion  of  future  "  movement." 
If  there  is  an  epilogue,  a  notable  interval  of  time  often 
precedes  it. 

In  Silas  Marner,  study  the  relative  values,  as  a  "  beginning," .  of 
Chapter  I,  Chapters  I  and  II,  and  these  with  the  first  three  paragraphs 
of  Chapter  III  added ;  in  Pride  and  Prejudice,  Chapter  I  and  Chapters 
I  to  III. 

In  the  beginning  of  a  novel  there  are  two  points  of 
special  importance :  the  introduction  of  the  composition, 
at  which  point  we  leave  life  for  literature,  and  the  intro- 
duction of  the  illusion,  at  which  point  we  leave  actuality 
for  fiction.  These  two  points  may  of  course  coincide,  but 
this  is  by  no  means  an  invariable  rule.  The  entrance  to 


CONSECUTIVE   STRUCTURE  33 

the  illusion  may  be  abrupt  or  by  gradual  transition.  If 
there  are  distinct  primary  and  secondary  illusions,  as  in 
the  imaginary  manuscript  type  of  fiction,  the  exact  point 
of  introduction  to  each  may  be  noted.  In  the  conclusion, 
the  two  corresponding  points  are  to  be  examined.  The 
novel  is  not  so  likely  as  the  romance  or  the  short  story  to 
begin  or  close  with  a  distinct  effect,  producing  an  impres- 
sion which  dominates  the  entire  work.1 

EXAMPLES  OF  INITIAL  POINTS  BEFORE  COMPLETE  ILLUSION. 
Generalization:  Anna  Karenina;  Pride  and  Prejudice.  Place  Setting 
(so  far  as  we  know  entirely  or  largely  real)  :  Pere  Goriot ;  Eugdnie 
Grandet ;  House  of  the  Seven  Gables ;  I  Promessi  Sposi.  Place  and 
Time  Settings :  La  Debacle  ;  Silas  Marner. 

INITIAL  POINTS  OF  ILLUSION.  For  the  imaginary  manuscript,  see 
Section  20.  General  situation,  characterization,  or  early  history  of  hero 
or  heroine:  Robinson  Crusoe  ;  Don  Quixote;  Vathek  ;  Soil  und  Haben. 
Secondary  Characters :  Frankenstein  ;  Tom  Jones  ;  Pendennis  ;  Sense 
and  Sensibility.  Specific  Incident :  Pendennis  (slightly  generalized)  ; 
Doila  Perfecta;  Wilhelm  Meister;  Ivanhoe ;  (the  last  three  with  quali- 
ties of  "scene"). 

CONCLUDING  POINTS.  Closing  with  point  distinctly  in  the  illusion. 
(For  conclusion  with  the  title,  see  Section  5.)  Return  to  imaginary 
manuscript:  Scott's  Tales  of  My  Landlord.  Specific  Situation  :  Robin- 
son Crusoe  ;  Soil  und  Haben  ;  I  Promessi  Sposi ;  Anna  Karenina ;  Silas 
Marner  (dialogic  point);  Scarlet  Letter  (impressionistic  effect) ;  Ivanhoe. 
Closing  with  point  not  entirely  in  the  illusion.  Pepita  Jime'nez  (motto 
evidently  selected  by  author  in  propria  persona)  ;  Don  Quixote  (pur- 
pose of  work). 

30.  Movement  and  Situation.  —  A  mass  of  event,  large 
or  small,  may  be  considered  a  movement,  though  the  term 
is  somewhat  more  applicable  to  the  larger  masses.  Move- 
ments in  the  direct  line  of  general  plot-development  may 

1  Poe  writes  of  the  "  preconceived  effect  "  of  the  entire  composition :  "  If 
his  very  initial  sentence  tend  not  to  the  outbringing  of  this  effect,  then  [the 
writer]  has  failed  in  his  first  step."  ("  Hawthorne's  'Tales.'  ") 


34  THE   STUDY   OF   A  NOVEL 

be  called  "centripetal";  others,  "centrifugal."  In  a  gen- 
eral way,  the  sentence  or  paragraph  is  the  standard  unit 
of  incident;  the  chapter,  of  event  and  scene ;  chapter 
groups,  of  episode. 

A  situation,  in  a  technical  sense,  is  a  summary  of  impor- 
tant circumstances  at  any  stage  of  the  plot,  though  items 
of  situation  may  be  given  in  solution.  A  situation  is  of 
course  implied  at  every  stage,  which  the  reader  may  work 
out  for  himself  if  the  novelist  does  not  state  it.  In  general, 
a  novel  is  an  alternation  of  movements  and  situations ;  the 
sense  of  spirited  progress  depending  on  the  predominance 
of  the  former ;  the  sense  of  reflective  leisure,  philosophical 
breadth,  largely  on  the  predominance  of  the  latter. 

31.  Event  and  Incident.  —  By  event  is  here  meant  a 
unified  mass  of  action  of  some  scope  and  distinct  signifi- 
cance in  the  plot,  composed  of  distinct  minor  units  of 
action  —  the  incidents.  Occasionally  important  incidents 
are  found  isolated. 

Every  event,  in  the  complete  meaning  of  the  term,  has 
a  very  marked  identity,  in  sequence  of  incidents,  and  espe- 
cially in  time  and  place  settings.  It  is  readily  distinguished 
from  all  other  events  in  the  same  novel  or  other  novels ; 
but  realism  tends  more  than  romance  to  give  highly  indi- 
vidualized details  of  incident  and  setting.  Important  events 
are  likely  to  have  definite  introduction  and  conclusion  and 
a  definite  time  setting;  to  be  preceded  and  followed  by 
a  time  interval,  and  to  be  given  specific  motivation.  In 
the  sequence  of  incidents,  however,  an  event  may  be  so 
typical,  whether  this  be  intended  by  the  author  or  not,  as 
to  lose  in  large  part  its  individual  quality. 

The  single  combat  of  knights  in  the  romance  of  chivalry,  for  example, 
frequently  has  about  this  sequence  of  incidents  :  the  knights  perceive 


CONSECUTIVE   STRUCTURE  35 

one  another,  a  challenge  is  given,  the  shock  with  spears  and  unhorsing, 
the  attack  with  swords,  etc.  Compare  this  with  the  archery  contest  in 
Chapter  XIII  of  Ivanhoe,  ap  event  which  in  outline  is  still  somewhat 
typical,  but  has  detail  enough  to  individualize  it  thoroughly :  — 

Preparation.  Announcement,  selection  of  archers,  inspection,  etc. 
First  Target.  Preparation,  casting  of  lots,  the  shooting,  dialogue  of 
John  and  Robin  Hood.  Second  Target.  Change  of  target,  Hubert's 
shot  —  aim,  shot,  flight,  —  Robin  Hood's  shot,  dialogue  of  Hubert  and 
John,  Hubert's  successful  shot,  dialogue,  Robin's  shot.  The  Wand. 
Preparation,  dialogue,  the  shot.  Finale.  Congratulations,  dispersion  of 
crowd. 

This  event  is  an  excellent  example  in  miniature  of  dramatic  line,  and 
of  many  details  of  narrative  form. 

Events  or  incidents  may  also  be  generalized,  though 
they  are  in  that  case  usually  given  mainly  in  outline,  for 
obvious  reasons.  The  novelist  makes  liberal  use  of  gen- 
eralized events  to  give  the  impression  of  solidity,  of  accumu- 
lation of  happenings,  in  little  space.  Such  passages  are 
often  introduced  by  formulas  like  "  he  was  in  the  habit  of," 
"every  Sunday  afternoon,"  etc.  In  the  next  to  the  last 
paragraph  of  Chapter  II,  Silas  Marner,  the  generalized 
incident,  "  But  at  night,"  etc.,  offers  striking  contrast  with 
the  unique  "little  incident"  of  the  preceding  paragraph. 

An  incident  which,  as  given,  cannot  be  analyzed,  may  be 
called  an  tiltimate  point  of  incident.  Modern  realism  is 
inclined  to  give  these  points  in  more  detail  than  the  ordi- 
nary consciousness  would  note  —  to  make  them  approach 
the  elements  of  physical,  physiological,  and  psychological 
reality.  In  this  very  manner,  however,  it  may  destroy  the 
impression  of  reality.  A  more  effective  realism  may  be  that 
which  coincides  as  nearly  as  possible  with  the  degree  of 
detail  the  average,  or  at  least  the  non-scientific,  conscious- 
ness would  note  from  a  given  point  of  view.  Of  this  kind 
of  realism  the  passage  from  Ivanhoe  noticed  above  is  a 


36  THE   STUDY   OF  A  NOVEL 

fairly  good  example.  If  Scott  had  attempted  to  note  every 
muscular  change  in  Robin  Hood  as  he  shot,  he  would  have 
been  more  realistic  in  one  sense,  but  the  effect  of  reality 
would  probably  have  been  blurred. 

Events  may  be  classified  in  many  ways.  One  of  special 
significance,  and  of  special  value  in  preparation  for  study  of 
subject-matter,  is  that  which  distinguishes  personal  experi- 
ences, domestic,  social,  professional,  natural,  supernatural 
events,  etc.  Important  results  depend  on  the  number, 
distribution,  type,  and  treatment  of  events.  External  events 
and  incidents  as  such  are  of  greatest  value  in  the  novel  of 
action :  in  the  novel  of  character  they  may  sink  to  a  rela- 
tively unimportant  position. 

32.  The  Scene.  —  A  scene  may  be  considered  a  special- 
ized treatment  of  an  event,  and  between  the  two  no  exact 
line  need  be  drawn.  Analogy  with  the  drama  suggests 
that  essential  unity  of  dramatis  personas,  unity  and  con- 
tinuity of  time,  elaboration  and  unity  of  circumstantial 
and  place  settings,  and  predominance  of  dialogue  are  char- 
acteristic of  a  completely  developed  scene.  Though  either 
scene  or  event  may  be  composed  of  a  soliloquy,  with  its 
objective  environment,  the  terms  apply  with  more  force  to 
masses  in  which  there  is  obvious  and  even  somewhat  com- 
plicated external  activity.  Some  critics,  chiefly  those  who 
emphasize  its  descriptive  quality,  consider  the  novel  as 
essentially  a  series  of  scenes.  While  this  conception  often 
gives  a  satisfactory  analysis,  there  are  many  novels  in 
which  fully  developed  scenes  are  found  only  at  consider- 
able intervals. 

In  Silas  Marner,  taking  the  chapter  as  a  unit,  the  best  examples  of 
developed  scenes  are  in  Chapters  V,  VI,  VII,  IX,  XVIII,  XIX,  and  XX. 
There  are  many  other  minor  or  fragmentary  scenes ;  but  as  a  whole, 


CONSECUTIVE   STRUCTURE  37 

Silas  Marner  can  hardly  be  considered  as  composed  of  a  series  of 
scenes,  even  allowing  for  the  necessary  transitions.  It  does  not  open 
with  a  scene,  as  the  romances  of  Scott  frequently  do,  or  close  with  & 
very  distinct  one. 

33.  Episode.  —  This  term  may  be  defined  as  a  unified 
mass  composed  of  a  series  of  events  or  scenes,  with  their 
accompanying  situations.  In  a  novel  of  clear  structure 
the  episodes  are  well-relieved.  They  may  be  centripetal  or 
centrifugal  (episode  in  a  common  secondary  sense);  pro- 
gressive or  reverting ;  may  belong  to  a  single  action  or  the 
whole  plot,  etc.  Episode,  being  a  larger  mass,  is  not  likely 
to  be  so  closely  unified  in  time,  place,  or  characters  as  a 
scene,  but  it  may  have  its  own  identity  in  each  of  these  and 
other  particulars. 

Incident,  event,  and  episode  are  terms  that  may  be 
taken  relatively,  in  reference  to  the  perspective  of  the 
whole  composition.  In  a  general  history  of  the  United 
States,  the  Civil  War  may  be  an  episode,  the  battle  of 
Gettysburg  an  event,  Pickett's  charge  an  incident,  the 
death  of  a  single  general  an  ultimate  point  of  incident. 
But  in  the  analysis  of  a  short  story  devoted  entirely  to 
Pickett's  charge,  the  movement  of  the  army  across  the 
plain  might  be  an  episode,  the  death  of  a  single  soldier 
an  event,  the  dropping  of  his  rifle  an  incident,  and  "the 
bayonet  struck  first "  an  ultimate  point. 

OUTLINE    OF   THE    EPISODES    IN    SILAS    MARNER 

EPISODE  I.  Life  of  Silas  Marner  before  the  robbery.  Chapters  I 
and  II.  As  a  whole,  in  reference  to  the  rest  of  the  narrative,  and  as 
treated,  a  situation. 

1.  At  Lantern  Yard.     I.   A  movement  without  well-developed  scene. 

2.  At  Raveloe.     II.   In  the  main  a  situation,  with  somewhat  scat- 
tered incidents,  rather  than  event  or  scene. 


38  THE   STUDY  OF   A  NOVEL 

EPISODE  II.  The  Robbery.  Chapters  III  to  X.  As  a  whole  a  dis- 
tinct movement. 

1.  III-IV.     Preparatory  movement  in  two  events. 

2.  V.     Climax  of  episode.     Incident  expanded  into  event. 

3.  VI  to  IX.     "  Fall "  of  the  episodic  line.     Chapter  VI  a  centrifu- 
gal event  with  scene  quality. 

4.  X.   Transitional  to  next  episode,  with   somewhat   of  situation 
quality. 

EPISODE  III.  The  Coming  of  Eppie.  Chapters  XI  to  XV.  Move- 
ment passing  into  situation. 

1.  XI  and  XII.     Preparatory.     XI  somewhat  centrifugal,  and  with 
scene  quality ;  XII  much  more  distinctly  a  forward  movement. 

2.  XIII.     Climax  of  episode  and  of  the  Godfrey  Cass  action. 

3.  XIV  and  XV.     "  Fall "  of  the  episode  ;  but  with  situation  quality. 

EPISODE  IV.  Final  relations  of  Marner,  Eppie,  and  the  Casscs. 
Chapter  XVI  to  Conclusion.  Mixed  qualities  of  movement  and 
situation. 

1.  XVI  to  XVIII.     Preparatory  movement. 

2.  XIX.     Climax  of  episode.    (Real  catastrophe  of  plot.) 

3.  XX.     "  Fall "  of  episode. 

4.  XXI.    Somewhat  centrifugal,  so  far  as  this  single  episode  is  con- 
cerned.    Event. 

5.  Conclusion.     Catastrophic  event,  resolving  into  situation  at  the 
end. 

34.  Lines  of  Interest.  —  "  Thread  of  interest "  is  the  more 
common  phrase,  but  it  is  frequently  used  in  reference  to  the 
narrative  interest  alone.  The  consecutive  points  of  charac- 
terization, subject-matter,  and  all  other  important  "topics" 
may  also  be  traced  as  more  or  less  distinct  lines.  Some 
of  these  perhaps  need  no  further  comment  than  is  sug- 
gested by  the  analysis  of  masses  and  points  in  this  chapter; 
the  important  lines  of  single  action  are  considered  in  the 
next  chapter.  It  is  convenient  to  notice  here,  partly  as  a 
representative  analysis,  partly  on  account  of  its  special 
significance  in  the  novel,  the  "  line  of  emotion." 


CONSECUTIVE   STRUCTURE  39 

35.  The  Line  of  Emotion.  —  In  examining  this,  one  may 
have  the  author,  characters,  or  reader  specially  in  mind. 
The  fact  that  the  author  presents  a  character  moved  by 
fear  does  not  necessarily  mean  that  the  author  or  the  reader 
experiences  that  emotion.  Nor  does  a  mere  discussion  of 
emotion,  whether  by  the  author  or  a  character,  such  as  one 
should  notice  in  the  study  of  subject-matter,  belong  to  the 
line  of  emotion.  For  general  purposes,  this  is  best  traced 
by  observation  of  the  diction  showing  emotion  in  the  charac- 
ters or  author  or  calculated  to  produce  it  in  the  reader. 
The  intensity  as  well  as  kind  of  emotion  may  be  noted. 
Critics  who  emphasize  the  emotional  element  as  charac- 
teristic of  the  novel,  have  in  mind  an  unusual  degree  of 
emotional  stress.  The  line  of  intensity  may  be  conceived 
as  related  to  an  imaginary  base-line  of  normal  unstressed 
emotion. 

Practise  in  minute  analysis  of  emotional  sequence  is  best 
found  in  the  lyric  or  short  story  of  emotional  type,  or  in 
selected  passages  of  a  novel.  The  line  of  intensity  in 
Silas  Marner,  Chapter  XIII,  in  which  strong  feeling  is 
specially  predominant,  may  be  diagrammed  somewhat  as 
follows.  The  references  to  the  text  also  note  the  kind  of 
emotion,  to  some  extent. 


NORMAL   EMOTION 


1.  If  we  drew  separate  lines  for  Godfrey  and  Silas,  that  for  Silas  would 
perhaps  be  somewhat  higher.  2.  Company  in  general:  "Easy  jol- 
lity," " enjoyment."  3.  "Admired,"  "very  pleasant."  4.  "Startling," 
"  trembling,"  "  throb,"  "  terror."  5.  «  Half-breathlessly."  6.  Ladies 


40  THE   STUDY  OF  A  NOVEL 

in  general:  "Curious."  7.  Eppie :  "Half-alarmed."  8.  "Terrible 
effort."  9.  "Strong  sudden  impulse."  10.  Mrs.  Kimble :  "Mild 
surprise."  11.  Doctor  Kimble :  "  Some  bitterness."  12.  Eppie : 
"  Began  to  cry."  13.  "Felt  the  cry."  14.  Dolly  Winthrop  :" Much 
concerned,"  "compassion."  15.  "  Suspense,"  " passionate  desire  and 
dread,"  " sense  of  duty,"  "hope  of  freedom."  16.  "Is  she  dead?" 
"What  sort  of  woman  is  she?"  17.  Eppie  :"  Soothed."  18.  "Con- 
flict of  regret  and  joy,"  etc.  19.  "  Sharply."  20.  "  Sense  of  relief  and 
gladness."  21.  Author,  and  semi-quotation  of  Godfrey. 

This  analysis  might  be  made  more  detailed  or  more  simple ;  but  it 
may  serve  to  indicate  a  method.  The  centre  of  emotional  interest  is 
clearly  in  Godfrey.  "  Clash  of  emotion  "  is  to  some  extent  represented 
in  the  relations  of  Godfrey  and  Silas ;  more  distinctly  in  the  mind  of 
Godfrey  himself.  The  emotional  pitch  of  the  chapter  as  a  whole  is 
lowered  by  the  comparatively  mild  beginning  and  conclusion,  and  by 
the  presence  and  speech  of  characters  not  in  very  tense  emotional 
state. 

36.  Points.  —  A  point,  in  a  detailed  analysis,  will  not 
generally  occupy  more  than  a  sentence,  sometimes  only 
a  phrase  or  word.  Points  may  be  noted  with  reference  to 
every  phase  of  the  structure  and  substance  of  the  novel. 
Among  the  more  important  points  that  may  be  called  spe- 
cifically structural  are :  changes  of  tense,  use  of  /  or  we 
form;  asides  to  the  reader;  generalizations  and  typifica- 
tions ;  details  of  action,  settings,  characterization  and  moti- 
vation ;  details  to  increase  illusion ;  expectation  (preparation, 
foreshadowing),  reminiscence,  repetition ;  sudden  relief  of 
suspense ;  surprise,  etc.  Points  of  subject-matter  include 
any  brief  statement  of  theme  or  sub-theme,  or  any  detail  of 
the  topics  studied  in  Chapter  VII.  One  may  also  notice 
points  of  "  genetic  criticism  "  —  signs  of  revision  or  fatigue, 
etc. ;  of  "  dynamic  criticism  "  -  influence  of  another  novel, 
of  nationality,  etc. ;  and  of  "  kinetic  criticism  "  —  details 
which  we  like  or  dislike,  which  appear  improbable,  which 
might  offend  a  certain  class  of  readers,  etc. 


CONSECUTIVE   STRUCTURE  41 

Points  having  peculiar  distinctness  or  force,  especially 
from  the  reader's  point  of  view,  may  be  called  effects* 
A  novel  dominated  by  startling  single  effects  tends  to 
become  sensational;  a  novel  without  any  such  effects  is 
rare,  and  can  hardly  resemble  actual  life.  The  short  story 
is  more  likely  than  the  novel  to  affect  us  as  composed  of 
brilliant  single  points ;  the  mass  quality  being  sometimes  so 
obscured  that  we  can  scarcely  see  the  wood  for  the  trees. 

As  an  example  of  analysis  some  of  the  principal  points 
in  Chapter  XII  of  Silas  Marner  may  be  noted.  This  chap- 
ter contains  many  notable  effects,  including  "touches  of 
fantasy,"  which  give  it  something  of  the  quality  of  a  ro- 
mantic short  story.  It  is  entirely  in  non-dramatic  form, 
except  for  the  few  details  noted  first.  The  numbers  refer 
to  the  paragraphs. 

Dramatic  Form.  Semi-quotation  of  Molly  and  Marner;  Eppie's 
"Mammy." 

Syntax.  Repetition  of  "  longing  "  ;  "  demon  "  ;  "  black  remnant " ; 
"pleaded";  "moment";  "bright  living  thing";  "gleam";  "tod- 
dled " ;  "  flame  " ;  "  vision  " ;  "  Mammy,"  etc. 

Interrogative;  (6)  and  (8).  "To  close  it  —  but  he  did  not  close  it." 
Personification  of  "demon";  " white- winged  messengers."  Psycho- 
logical phrases  —  e.g.,  " bewilderment  of  waking";  "supreme  imme- 
diate longing,"  —  characteristic  of  author. 

Appeal  in  "  pretty  stagger  "  ;  "  primary  mystery,"  etc. 

Vocabulary.  Effects  of  mystery  gained  by  "  glimmer  " ;  "  blurred  " ; 
'•amazement " ;  "  marvel "  ;  "  wonderment "  ;  "  awe,"  etc. ;  of  fore- 
shadowing in  "listening";  "gazing";  "yearning";  "unrest,"  etc. 
"  Furze  "  and  "  catalepsy  "  are  effects  for  many  readers.  Concreteness 
of  "  toddled  "  ;  "  dangling  " ;  "  gurgling,"  etc. 

Phonology.  Alliteration  and  vowel  melody  in  "  old  quiverings  .  .  . 
over  his  life."  Rapid  syllabification,  aiding  the  sense,  in  "  an  inexplic- 
able "  to  end  of  sentence.  Cadences  at  close  of  chapter. 

1  See  the  analysis  of  effects  in  Moulton's  Shakespeare  as  a  Dramatic 
Artist. 


42  THE   STUDY   OF  A  NOVEL 

Dramatic  Irony.     "  How  and  when  had  the  child  come  in  ?  " 

Point  of  View.  Implied  in  calling  Mrs.  Cass,  "Molly";  Marner, 
"  Silas."  Child's  point  of  view. 

Foreshadowing.  Very  many  points.  "Freezing  wind";  "She 
walked  always,"  etc.;  (4)  as  a  whole;  and  (8). 

Preparation.  "As  if  there  was  gold"  is  a  counterpoint  of  Chapter 
XIV,  paragraphs  14  and  33,  etc. 

Reminiscence*  "  Her  husband  would  be  smiling  "  (of  preceding  chap- 
ter) ;  "had  its  father's  hair;  "  —  Godfrey  has  previously  been  mentioned 
as  a  blond.  "Opium"  is  reminiscent  of  Chapter  III,  paragraph  23. 

Surprise.  Abrupt  introduction  of  Eppie  (i),  made  more  emphatic 
by  position  at  end  of  paragraph,  after  matter  important  and  surprising 
in  itself;  "suddenly"  (5)  ;  "but  he  did  not  see  the  child"  (6). 

Suspense.  The  chapter  abounds  with  effects.  "  She  would  go  .  .  k 
and  disclose  herself"  —  momentary  anticipation  unfulfilled.  Consecu- 
tive suspense  and  relief  in  "  In  another  moment  ...  it  was  an  empty 
phial."  The  last  clause  comes  as  near  being  sensational  as  any  in  the 
entire  novel.  Suspense  in  (8)  falls  into  distinct  masses  —  stages, 
closed  by  relief,  and  marked  by  "  instead  of  the  hard  coin,"  "  his  little 
sister,"  etc.  The  mass  of  suspense  in  (10)  is  relieved  suddenly  by  last 
sentence.  It  does  not  depend  on  the  reader's  ignorance  of  facts,  but 
on  his  uncertainty  as  to  how  the  author  will  give  a  new  turn  to  the  fact 
already  known,  and  on  the  ignorance  of  Silas. 

Contrast.  Of  this  chapter  with  the  last ;  of  the  time  setting  —  New 
Year's  Eve  —  with  the  tragedy;  of  tragedy  for  Molly  and  blessing  for 
Silas ;  in  special  depression  of  Silas  at  the  moment  when  his  life  is  to 
receive  new  impulse. 

Special  effects  of  pathos  are  found  throughout  —  in  vocabulary,  syn- 
tax, point  of  view,  etc. 

37.  Mass  in  Momentum.  —  By  momentum  is  meant  the 
general  effect  of  increasing  value  characteristic  of  any 
aesthetic  series,  but  particularly  distinct  in  narration.  By 
a  loose  analogy  with  physical  force,  it  may  be  analyzed 
into  the  two  elements  of  "  mass,"  considered  as  the  accumu- 
lation of  previous  interest  at  any  point;  and  "velocity," 
that  is,  the  rapidity  with  which  new  interest  is  accumu- 
lating at  this  point. 


CONSECUTIVE   STRUCTURE  43 

Mass  may  include  all  that  we  consciously  or  uncon- 
sciously retain  for  ourselves,  but  it  is  more  clearly  struc- 
tural when  the  novelist  summarizes  or  otherwise  recalls  the 
previous  interest.  The  reminiscences  of  Chapters  XVI 
and  XXI  in  Silas  Marner  give  increased  momentum  to 
the  new  events  introduced,  as  in  real  life  it  is  often  mem- 
ory that  gives  peculiar  force  to  present  experience.  In 
the  third  part  of  Robinson  Crusoe,  the  essay  on  "  Soli- 
tude "  has  back  of  it  the  whole  lonely  experience  of  the 
hero  on  the  island,  which  to  some  extent  Defoe  recalls. 
Individual  memory  is  of  special  value  in  psychological 
characterization  ;  as  in  Tolstoi's  Resurrection. 

Expectation  is  a  convenient  term  for  all  suggestion  of 
coming  events.  The  most  general  expectation  of  a  nar- 
rative is  implied  in  the  simple  fact  that  it  is  to  be  read. 
Preparation  may  be  used  for  more  definite  announcement ; 
anticipation  for  an  introduction  of  details  to  be  repeated 
at  a  later  stage  ;  foreshadowing  for  vague,  impressionistic 
prophecy  of  future  events.  Suspense  is  a  general  term  to 
denote  that  the  interest  in  any  of  these  forms  of  expecta- 
tion is  raised  to  especially  high  pitch. 

Among  special  ways  of  producing  suspense  are  announcement  of  an 
important  meeting  of  characters,  and  introduction  of  characters  with 
concealed  identity,  particularly  when  the  identity  is  concealed  from  the 
reader  or  the  character  himself.  Concealed  identity,  in  various  forms, 
plays  a  considerable  part  in  Sidney's  Arcadia,  as  in  many  romances  of 
chivalry  and  pastoral  romances ;  in  Les  Mise'rables,  Bulwer's  Paul 
Clifford  and  Kenelm  Chillingly.  The  technical  treatment  is  prob- 
ably modelled  after  that  of  the  drama;  the  "recognition"  in  catas- 
trophe, after  the  classical  drama.  An  interesting  example  of  double 
"recognition"  —  false  and  true  —  is  found  in  Dolly  Cowslip,  in  the 
catastrophe  of  Smollett's  Sir  Launcelot  Greaves. 

38.  The  Rate  of  Movement.  —  The  general  rate  of  move- 
ment —  the  thematic  "  tempo  "  —  may  often  be  given  with 


44  THE   STUDY  OF  A  NOVEL 

some  definiteness  for  the  novel  as  a  whole,  but  a  large  part 
of  its  aesthetic  value  depends  on  changes  within  the  composi- 
tion. If  the  novel  is  "  allegro,"  so  to  speak,  as  a  whole,  it  will 
require  a  "  presto  "  movement  to  give  much  acceleration ; 
and  an  "andante"  movement  will,  by  comparison,  be  a 
retardation.  It  might  be  possible  to  select  individual  novels 
or  passages  as  standards  of  the  principal  rates  of  move- 
ments suggested  by  the  analysis  of  music. 

Momentum  has  not  been  defined  as  referring  merely  to 
the  purely  narrative  interest,  —  a  reader  may  perhaps  be 
more  concerned  with  the  accumulation  of  philosophical 
ideas,  etc.,  —  but  this  is  the  most  common  and  most  natural 
application.  Viewing  a  novel  as  a  narrative,  description, 
exposition,  and  often  dialogue  are  retarding  elements ;  the 
highest  degree  of  acceleration  occurs  in  narrative  passages 
characterized  by  rapid  sequence  of  well-relieved  incidents. 

Richardson's  novels  are  famous  examples  of  retardation ;  Smollett's, 
as  novels  of  adventure,  are  marked  by  notable  acceleration.  The  eleven 
pages  of  Chapter  XXI  of  Sir  Launcelot  Greaves  include  a  marriage, 
father's  rejection  of  a  daughter,  persecution  of  a  debtor,  imprison- 
ment, birth  and  death  of  a  child,  formation  of  the  drunkard's  habit, 
development  of  semi-insanity,  social  and  prison  history  of  a  "gay  young 
widow,"  bankruptcy  and  imprisonment  of  another  character,  and  several 
other  distinct  incidents.  (But  in  this  passage  there  is  little  mass  in  the 
momentum,  for  Sir  Launcelot  is  hardly  the  important  character,  and  the 
others  are  entirely  episodic.)  There  is  nothing  resembling  this  in 
Silas  Marner.  That  novel  as  a  whole  might  perhaps  be  considered  an 
andante  movement.  Acceleration  is  specially  noticeable  in  Chapters 
XIII,  XVIII,  and  the  latter  part  of  Chapter  I ;  retardation  in  Chapters 
VI  and  XI. 

39.  Climax  and  Foiling.  —  Foiling  is  represented  by  the 
formula,  a  A,1  in  reference  to  any  two  consecutive  items  of 

1  For  a  conception  of  the  term  and  its  application,  see  Moulton's  Shake- 
speare as  a  Dramatic  Artist. 


CONSECUTIVE   STRUCTURE  45 

interest;  though,  like  climax,  more  generally  referred,  in 
the  novel,  to  characters  and  events.  Climax  is  represented 
by  the  formula  a  A  A.  In  the  relations  of  character,  an  ex- 
ample of  foiling  is  found  when  character  A  is  presented  as 
good,  B  as  better,  or  the  reverse;  in  the  relations  of  action, 
when  a  mysterious  event  is  compared  with  a  more  myste- 
rious, etc.  Logically,  it  requires  three  points  and  no  more 
to  make  a  climactic  effect,  and  this  triple  form  is  common 
in  fiction,  especially  romantic  fiction.  Compare  the  triple 
testing  of  chastity,  the  three  caskets  of  the  Merchant  of 
Venice,  and  Bedivere  with  Excalibur  in  the  Idylls  of  the 
King. 

Of  course  there  are  many  degrees  of  definiteness  in  foiling  and  cli- 
max. Special  structural  value  is  found  only  when  the  author  is  conscious 
of  the  effect,  but  the  student  may  discover  many  examples  for  himself. 
In  a  certain  way,  Jem  Rodney  is  a  foil  for  Dunstan  Cass,  but  it  is  doubt- 
ful if  George  Eliot  thought  of  the  two  as  so  related.  In  Robinson 
Crusoe  there  is  climax  in  the  series  of  disasters  to  the  hero  in  his  early 
history ;  in  his  gradual  conquest  of  circumstances  on  the  island,  and 
in  the  later  growth  of  the  colony.  Each  of  these  series  may  be  out- 
lined in  distinct  stages.  A  good  example  of  romantic  character  foiling 
is  found  in  the  hero  and  the  monster  of  Frankenstein  —  great  isola- 
tion and  suffering ;  greater  isolation  and  suffering. 

Climax  of  plot,  as  a  definite  technical  term,  is  noticed  in  Section  51. 

40.  Reciprocity.  —  Any  two  points  or  masses  with  defi- 
nite structural  interchange  of  value,  so  to  speak,  espe- 
cially when  the  values  are  considered  about  equal,  may 
be  called  reciprocal.  The  terms  counterpoint,  counter- 
mass ,  may  also  be  used.  Contrast  is  the  most  familiar 
and  perhaps  the  most  significant  type  of  reciprocity. 
It  is  naturally  most  emphatic  when  the  two  points 
are  adjacent,  and  when  it  passes  into  detailed  antithesis. 
Victor  Hugo  often  carries  his  fondness  for  sharp  contrast, 
observable  in  every  element  of  the  novel,  into  the  details 


46  THE   STUDY   OF   A   NOVEL 

of  sentence  and  phrase.  Contrast  should  not  be  limited  to 
characters,  though  this  is  certainly  one  of  its  most  impor- 
tant aspects  in  the  novel.  Contrast  incorporated  in  the 
main  theme  of  a  novel  is  suggested  by  such  titles  as 
Master  and  Man,  Cloister  and  Hearth,  Sense  and  Sensi- 
bility.1 Suspense  and  its  "  relief  "  are  of  course  reciprocal. 
They  are  often  somewhat  massed  at  the  beginning  or  climax 
of  a  novel,  and  at  the  catastrophe,  respectively. 

A  marked  example  of  anticipation  is  found  in  Janet's  Repentance, 
the  closing  paragraph  of  Chapter  IX.  This  item  of  the  narrative  is 
elaborated  in  its  proper  place  in  the  first  paragraphs  of  Chapter  XXVII, 
even  with  essential  repetition  of  a  few  details  —  "  her  eyes  were  worn  with 
grief  and  watching  "  ;  "  in  quiet  submissive  sorrow,"  etc.  What  seems 
to  be  definite  anticipation  is  not  always  fulfilled.  When  Godfrey  Cass 
sees  his  dead  wife  in  Marner's  cottage,  "  he  remembered  that  last  look  at 
his  unhappy  hated  wife  so  well,  that  at  the  end  of  sixteen  years  every 
line  in  the  worn  face  was  present  to  him  when  he  told  the  full  story  of 
this  night."  This  is  so  definite  that  we  may  naturally  expect  a  corre- 
sponding passage  later,  but  there  is  no  further  mention  of  this  terrible 
memory  of  Godfrey. 

41.  Analysis  of  Simpler  Narratives.  — The  novel  is  too 
long  and  complex  to  permit  an  exhaustive  analysis  of  all 
the  elements  of  narrative  form.  For  practise  in  such 
analysis  the  short  story  is  more  satisfactory.  For  the 
examination  of  mere  mechanism,  perhaps  nothing  is  better 
than  that  barren  type  in  which  narrative  interest  is  re- 
duced to  its  lowest  terms,  —  the  genealogy.  In  the  tenth 
chapter  of  Genesis,  for  example,  it  is  easy  to  distin- 
guish the  beginning,  middle,  and  end ;  the  episodes ;  the 
points  of  repetition,  retardation,  acceleration,  etc.  Most 
of  the  analyses  of  the  present  volume  could  be  simply 
exemplified  from  Biblical  narratives. 

1  Other  phases  of  contrast  are  noticed  in  the  chapter  on  General  ^Esthetic 
Interest. 


CHAPTER  III 
PLOT1 

42.  Meaning  of  Plot.  —  Four  somewhat  different  con- 
ceptions of  plot  are  explained  in  the  glossary.  The  root 
idea  of  them  all  is  that  of  design  —  of  unity  fashioned  out 
of  complexity  of  details.  This  root  idea  implies  a  certain 
subjectivity  in  all  plot ;  for  design,  though  it  may  be  given 
external  form,  is  essentially  a  product  of  the  mind.  It 
follows  that  plot  analysis  is  more  or  less  flexible,  depending 
on  the  particular  way  in  which  the  artist  and  the  critic 
see  the  relation  of  the  details  to  a  central  plan.  Even  so 
simple  a  graphic  design  as  this,  ©,  the  imagination  may 
choose  to  see  primarily  as  a  circle  with  an  inscribed  cross, 
the  four  quarters  of  a  circle,  etc.  In  more  complicated 
designs  it  may  require  some  time  for  an  untrained  eye  to 
perceive  the  unity  in  a  given  way.  This  flexibility  is  very 
pronounced  in  the  novelistic  plot,  because  the  details  them- 
selves are  invariably  complicated  and  subjective.  In  a 
sense,  the  critic  makes  rather  than  merely  discovers  the 
plot.  The  closer  the  study,  the  more  familiar  any  method 
of  analysis,  however,  the  more  exact  and  uniform  the 
results. 

The  general  conception  of  plot  as  unity  of  design  is 
applicable  to  all  the  arts,  and  is  noticed  more  at  length  in 

1  The  general  indebtedness  of  this  chapter  to  Moulton's  method  of  plot 
analysis,  and  to  Freytag  and  his  followers,  may  he  acknowledged  once  for  all. 
Many  details  will  be  apparent  to  any  one  acquainted  with  the  two  critics. 

47 


48  THE   STUDY   OF   A   NOVEL 

the  chapter  on  General  ./Esthetic  Interest.  The  present 
chapter  considers  plot  mainly  in  the  first  sense  of  the 
glossary,  as  a  design  of  strictly  narrative  details. 

43.  Necessity  and  Ideality  of  Narrative  Plot  —  In  any 
well-constructed  narration,  one  may  affirm  the  necessity 
and  ideality  of  plot.  When  Mr.  Tuckerman  writes  of 
Morte  d'Arthur,  "of  plot  there  is  none,"1  if  he  is  using 
the  word  in  the  sense  just  given,  his  statement  is  opposed 
by  an  analysis  of  the  romance  itself.  Plot  is  necessary 
because  of  the  inevitable  tendency  of  the  mind  to  unify 
any  series  of  events  it  considers  together ;  it  is  ideal 
because  the  imagination,  broadly  interpreted,  is  the  only 
mental  faculty  able  to  fashion  this  unity  in  a  satisfactory 
manner.  Though  one  may  grant  a  certain  objective  unity 
in  a  series  of  natural  events,  as  in  the  working  of  a 
machine  or  a  process  of  crystallization,  the  narrative  record 
of  those  events,  unless  a  mere  unmeaning  jumble,  is  a 
product  of  imagination.  The  great  unifying  conception 
of  evolution,  even  if  all  the  facts  were  found  in  nature,  is 
essentially  imaginative,  as  science  states  it  for  our  intel- 
lectual satisfaction  and  practical  use. 

Especially  in  any  series  of  social  or  individual  human 
experiences,  the  reason  demands  and  the  imagination 
attempts  the  transformation  of  a  chaos  of  details  into  a 
cosmos  of  significance,  if  not  of  beauty.  Plot,  in  this 
restricted  sense,  is  common  to  epic,  drama,  novel,  history, 
and  biography  ;  and  the  general  method  of  analysis  may 
be  much  the  same  for  all.  The  student  of  the  novel  might 
profit  by  plot  analysis  of  Carlyle's  French  Revolution, 
Hallam's  Middle  Ages,  or  Grant's  Personal  Memoirs. 

Most  clearly  is  plot  necessary  and  ideal  in  fictitious 
narrative.  However  real  the  main  outline  of  events,  or 

1  English  Prose  Fiction,  p.  40. 


PLOT  49 

specific  events,  as  in  historical  fiction  ;  however  typical, 
as  in  the  novel  of  manners ;  the  plot  of  every  novel,  as  a 
fusion  of  details  into  unity,  is  a  unique  product  of  imagi-  \ 
nation.  The  most  commonplace  and  conventional  novel 
ever  written  has  at  least  this  interest  of  distinct  identity 
in  imaginative  process  and  result.  The  old-fashioned 
critical  terms  "  invention"  and  "  the  fable"  (see  the  glos- 
sary) emphasized  this  aspect  of  plot.  The  fact  that 
plot  is  imaginative  does  not  necessarily  imply,  however, 
that  it  is  emotional  or  spontaneous.  It  is  in  the  very 
process  of  conscious  intellectual  shaping  of  materials  to 
an  ideal  result  that  some  critics  find  the  main  dignity  of 
plot.  The  novelist  as  well  as  the  philosopher  may  call 
into  action  the  "imaginative  reason."  Adverse  criticism 
of  plot  rests  largely  upon  a  one-sided  interpretation  of 
its  meaning.  Zola's  spirited  attack  has  been  abundantly 
answered,  and  particularly  by  the  testimony  of  his  own 
novels.1 

44.  Action  and  Narration.  —  Action  is  a  general  term 
which  includes  all  the  real  or  fictitious  incidents  of  the 
plot.  It  applies  more  particularly  to  external  events,  with 
definite  time  and  place  settings;  but  in  a  wider  sense  to 
emotions  and  thoughts,  even  without  definite  settings, 
which  belong  to  the  unity  of  illusion.  Most  novels  contain 
many  passages,  especially  the  generalizations  and  descrip- 
tions by  the  author,  which  lie  outside  the  action  proper. 
The  action  includes  all  the  incidents  supposed  to  happen, 
whether  distinctly  given  or  merely  implied  ;  the  narra- 
tion gives  some  of  these  fully,  some  briefly,  and  omits 
all  record  of  others.  The  relation  of  action  to  narration 

1  For  appreciation  of  plot,  see,  for  example,  Moulton's  Shakespeare  as 
a  Dramatic  Artist,  and  Santayana's  Sense  of  Beauty ;  for  adverse  criticism, 
see  Zola's  Experimental  Novel. 


50  THE   STUDY   OF   A   NOVEL 

is  in  part   analogous  to  that  between  the  characters  and 
characterization. 

The  life  of  Napoleon,  or  the  events  of  the  American  Civil  War, 
considered  as  materials  for  the  biographer  and  historian,  are  actions; 
the  biography  and  the  history  are  narrations.  The  action  is  clearly  a 
larger  and  more  complex  whole  than  the  narrative,  to  which  it  alone, 
in  fiction  or  outside  of  fiction,  gives  reality  and  authority.  This  dis- 
tinction applies  to  many  topics  in  Chapter  II,  as  well  as  in  the  present 
chapter.  There  is,  for  example,  a  situation  in  the  action,  and  a  situation 
in  the  narration.  In  Silas  Marner,  the  action-situation  at  the  close  of 
Chapter  IV  includes  the  important  incident  of  Dunstan  Cass'  death ; 
but  this  incident  enters  the  narrated  situation  only  towards  the  close  of 
the  novel. 

In  the  fluctuating  relations  of  action  and  narration  lie 
many  of  the  problems  of  narrative  technic.  To  imagine 
a  story  is  one  thing,  to  tell  it  another.  The  main  relations 
may  be  called  divergence  ("  foreshortening  "  when  the  nar- 
ration distinctly  condenses  the  action,  and  divergence  in 
sequence,  as  in  the  example  just  given),  convergence ',  and 
coincidence.  Parallelism,  that  is,  uniform  proportion  be- 
tween action  and  narration,  is  practically  impossible  in  a 
novel,  and  would  at  once  destroy  its  artistic  value.  It  is 
in  the  larger  outlines  of  plot  that  divergence  becomes  most 
conspicuous  and  imperative.  In  details,  the  narration  may 
approach  the  fulness  of  action,  real  or  imagined,  but  from 
the  scientific  point  of  view  there  can  never  be  actual 
coincidence.  (Compare  Section  31.)  The  process  of  selec- 
tion necessary  to  fashion  an  artistic  narrative  from  an 
action  has  been  emphasized  in  recent  rhetorical  study. 
Some  critics  find  in  imaginative  selection  the  primary 
method  and  principle  of  narrative  art ;  and  in  a  broader 
field,  art  in  general  has  been  defined  as  "the  suppression 
of  non-essentials." 


PLOT  51 

45.  Story.— As  a  technical  term,  story  may  denote  a 
larger  whole  of  real  action  from  which  the  plot  is  drawn. 
In  clear  form,  story  is  rare  except  in  historical  fiction,  but 
the  plots  of  non-historical  novels  may  always  be  viewed, 
by  novelist  or  reader,  as  ideal  episodes  of  a  wider  action 
historically  real.      The   story  of    Ivanhoe   is   the  history 
of  the  racial  adjustment  of  Saxon  and  Celt  in  England  ; 
of    Quo   Vadis,    the    history   of   the    struggle    of    early 
Christianity   with   paganism.      The   plot  of   The   Scarlet 
Letter   may  be   interpreted   as  an   ideal   episode   in   the 
story  of  the  redemption   of  the  sinner  through  love,  in 
which  the  lives  of  St.  Paul,  St.  Augustine,  and  many  other 
saints,  are  historical  episodes. 

Various  degrees  of  generalization  by  author  or  critic  indicate  proxi- 
mate, intermediate,  and  ultimate  stories.  The  proximate  story  of 
Kingsley's  Alton  Locke  is  the  Chartist  movement,  the  wider  story, 
the  general  struggle  of  the  laboring  classes;  the  proximate  story  of 
Galdds1  Dona  Perfecta  is  the  struggle  of  medieval  ecclesiasticism 
with  modernism  in  nineteenth  century  Spain,  the  wider  story,  the 
general  history  of  the  clash  of  religious  authority  with  the  liberated 
intellect.  In  the  introduction  of  1831  to  The  Fortunes  of  Nigel,  Scott 
suggests,  by  generalization,  a  far  wider  story  than  the  history  of  the  reign 
of  James  II :  "  The  most  picturesque  period  of  history  is  that  when 
the  ancient  rough  and  wild  manners  of  a  barbarous  age  are  just  becom- 
ing innovated  upon,  and  contrasted,  by  the  illumination  of  increased  or 
revived  learning,  and  the  instructions  of  renewed  or  reformed  religion." 

Unless  there  is  a  distinct  and  noteworthy  narrative  outline  in  the 
story  itself,  it  is  usually  more  satisfactory  to  consider  it  merely  as 
background,  or  as  general  subject. 

46.  Story  and  Plot.  —  When  the  story  is  distinctly  con- 
ceived, it  may  have  its  own  "  dramatic  line,"  with  which 
the  plot  of  the  novel  may  coincide  in  beginning,  climax,  or 
catastrophe.      The  plot  of  The  Plague  Year  is  emphati- 
cally historical  in  that  its  beginning,  rise,  climax,  fall,  and 


52  THE  STUDY   OF   A  NOVEL 

catastrophe  coincide  with  those  of  the  actual  movement 
of  the  pestilence.  (Compare  Cross,  pp.  143,  145,  and 
passim.)  Such  coincidence  is  by  no  means  an  invariable 
rule  in  historical  fiction.  Both  the  climax  and  the  catastro- 
phe of  Ivanhoe  are  in  the  main  purely  imaginary,  though 
typically  historical.  Great  historical  events,  like  great  his- 
torical characters,  if  introduced  at  all,  may  sink  into  the 
background  of  the  novel. 

Several  plots  may  of  course  be  drawn  from  the  same 
story.  These  may  be  quite  independent  episodes ;  as 
Galdos'  Dona  Perfecta,  Reade's  Cloister  and  the  Hearth, 
Ebers'  Homo  Sum,  for  example,  which  may  all  be  viewed 
as  episodes  in  the  story  of  the  conflict  of  ascetic  Christian- 
ity with  the  secular  nature  of  man.  When  several  plots 
from  the  same  story  have  a  considerable  number  of  com- 
mon characters  or  incidents,  they  constitute  what  is  tech- 
nically a  "  cycle"  ;  of  which  famous  examples  in  romance 
are  the  Arthurian  and  Charlemagne  cycles  of  the  Middle 
Ages. 

Story  often  undergoes  considerable  modification  in  details  or  in 
general  interpretation  before  the  novelist  moulds  his  plot  from  it.  The 
freedom  of  Scott  in  this  respect  is  partly  recorded  in  his  introductory 
matter,  and  has  been  abundantly  noticed.  In  details,  he  transforms  a 
Catholic  into  a  Protestant,  and  changes  the  chronological  sequence  in 
order  to  gain  increased  dramatic  effect;  in  general  interpretation,  his 
emphasis  upon  contrast  in  certain  specific  periods  is  probably  due  as 
much  to  his  own  imagination  as  to  actual  historical  conditions. 

47.  The  Plot  Proper.  —  The  plot  proper  of  a  novel  is 
the  design  which  unifies  all  the  incidents  of  the  narration, 
in  their  relation  to  one  another,  and  to  the  action.  Novel- 
istic  plot  may  generally  be  analyzed  with  profit  by  two 
methods,  somewhat  different,  but  so  closely  related  that 
neither  has  much  value  without  the  other.  The  first 


PLOT  53 

method  considers  plot  as  composed  of  single  lines  of 
interest,  known  in  the  action  as  "  single  actions,"  in  the 
narration  as  "  simple  narratives."  The  second  method 
subordinates  these  separate  lines  of  interest  to  the  general 
movement  forward  in  chronological  and  causal  series  to  a 
final  goal  —  the  catastrophe. 

48.  The  Single  Action.  —  A  single  action  is  a  series 
of  events  having  a  unity  and  significance  of  its  own  if 
detached  from  the  plot  in  which  it  is  found.  We  may 
imagine  it  alone  —  frequently  as  the  material  for  a  short 
story  —  or  transferred  to  another  novelistic  plot,  without 
loss  of  essential  meaning ;  just  as  we  may  detach  single 
characters  from  the  network  in  which  they  are  found, 
without  loss  of  identity.  Kipling's  phrase,  "but  that's 
another  story,"  technically  stated,  means,  "  a  single 
action  too  independent  to  be  woven  into  the  present 
plot." 

Flexibility  of  plot  analysis  (Section  42)  is  particularly 
apparent  in  the  perception  of  single  actions.  Some  of 
these  actions  are  dim,  others  quite  distinct.  They  may  have 
primarily  a  mere  chronological  unity,  or  may  have  their 
individual  dramatic  line,  dramatis  personae,  settings,  theme, 
tone,  etc.  It  is  not  necessary  that  they  have  an  inde- 
pendent origin,  or  were  conceived  as  distinct  by  the  novel- 
ist, though  these  conditions  of  course  emphasize  their 
individuality.  The  single  action  should  not  be  understood 
as  primarily  the  history  of  a  single  character,  though  the 
two  may  sometimes  be  identical.  Often  it  is  rather  the 
related  history  of  two  or  more  characters ;  sometimes  a 
narrative  movement  in  which  the  characters  are  merely 
the  necessary  agents  of  the  action.  The  perception  of 
single  actions  is  often  aided  by  a  generalized  statement 
of  them. 


54  THE   STUDY   OF   A   NOVEL 

In  Silas  Marner  one  can  readily  conceive  the  moral  histories  of  Silas 
and  Godfrey  Cass  separately,  without  violence  to  the  actual  plot.  In 
typical  form,  the  two  actions  are  about  as  follows:  — 

A,  a  young  rural  aristocrat,  contracts  a  degrading,  clandestine  mar- 
riage of  passion.     His  wife  dies,  leaving  a  young  child  in  the  hands  of 
people  of  the  laboring  class.     A  is  too  cowardly  to  take  her  himself, 
mainly  on  account  of  a  woman  of  his  own  class,  whom  he  loves  and  soon 
after  marries.     Later,  when   the  child  has   developed  into   a  young 
woman,  he  desires  to  adopt  her,  but  she  has  become  attached  to  her 
humble  friends,  and  refuses  to  leave  them.     This,  combined  with  the 
fact  of  their  childlessness,  is  received  by  A  and  his  wife  as  a  just  though 
painful  punishment  for  his  early  folly  and  cowardice.     This  statement 
preserves  the  main  outline  of  the  story  of  Godfrey  Cass,  and  leaves 
Silas  Marner  without  even  numerical  identity. 

B,  a  sensitive  laborer,  suffers  an  injustice  which  isolates  him  from 
his  own  past  and  from  his  fellow-men.     After  years  of  loneliness,  chance 
brings  him  a  little  waif  child,  and  their  mutual  love  softens  his  nature, 
reconciles  him  to  his  own  life,  and  unites  it  again  to  that  of  his  fellows, 
and  to  God.     In  this  outline  statement,  Godfrey  Cass,  in  his  turn, 
becomes  a  dramatis  persona  merely  implied. 

Of  course  this  is  not  the  actual  plot  of  Silas  Marner,  but  it  is  the 
two  stories  we  might  have  had,  and  it  throws  light  on  the  unifying 
process  in  the  real  plot.  The  history  of  Eppie  cannot  be  well  stated  as 
an  independent  interest;  she  is  necessary  to  both  actions,  and  so 
becomes  what  Professor  Moulton  calls  a  "  link  personage." 

In  Pride  and  Prejudice,  it  is  impossible  to  make  independent 
actions  of  the  histories  of  Elizabeth  Bennet  and  Mr.  Darcy,  without 
such  violation  of  the  actual  plot  as  obscures  rather  than  illuminates  it. 

Theory  as  to  the  number  of  single  actions  in  the  typi- 
cal plot  is  not  altogether  lacking.  Professor  MacClintock 1 
affirms  that  there  is  distinct  tendency  to  fuse  three  actions 
together ;  and  practical  analysis  will  show  that  this  triple 
resolution  is  often  satisfactory,  though  further  resolution 
is  always  possible  in  a  complex  plot.  As  over-analysis 
results  in  more  obscurity  than  no  analysis  at  all,  it  seems 
best  to  avoid  subtlety  in  the  search  for  single  actions. 

1  Unpublished  manuscript. 


PLOT  55 

Single  actions  may  be  named  or  described  according  to 
their  nature  and  structural  value  as  tragic,  comic ;  adventure 
actions,  love  actions,  supernatural  actions,  etc. ;  episodic, 
persistent,  thematic,  main  (principal),  sub-actions,  envelop- 
ing, motivating,  etc. 

EXAMPLES    OF   ANALYSIS   INTO   SINGLE   ACTIONS 
Pride  and  Prejudice. 
Enveloping  Actions. 

1.  Social  life  in  England,  in  the  upper  middle  classes. 

2.  History  of  the  Bennet  family  and  their  relatives. 
Main  Actions. 

3.  Love  story  of  Elizabeth  Bennet  and  Mr.  Darcy.     (Principal 

action.) 

4.  Love  story  of  Jane  Bennet  and  Mr.  Bingley. 

5.  Relations  of  Wickham  to  the  Bennets  and  the  Darcys. 
Sub-actions. 

6.  Professional  and  domestic  history  of  Mr.  Collins. 

7.  Relations  of  Colonel  Fitzwilliam  to  Elizabeth  Bennet. 

(Distinctly  episodic.) 
Last  of  the  Mohicans. 

1 .  Enveloping  Action.    Relations  of  the  French,  English,  Ameri- 

cans, and  Indians. 

2.  Main  Action.     Relations  and  experiences  of  Chingachgook, 

Hawkeye.   Uncas,   and   Heyward.      (The  relation  of  the 
first  two  characters  is  an  episodic  action  in  reference  to 
the  Leather-Stocking  series.) 
Sub-actions. 

3.  Relations  of  Magua  to  the  other  Indians  and  the  whites. 

4.  Career  of  David  Gamut. 

5.  Love  story  of  Heyward  and  the  Munro  sisters. 
Quo  Vadis. 

Enveloping  Actions. 

1.  Struggle  of  early  Christianity  with  Paganism  (Greek,  Roman, 

barbarian) . 

2.  International  relations  of  the  Roman  Empire. 

3.  Events  of  the  reign  of  Nero. 


56  THE   STUDY   OF   A  NOVEL 

Main  Actions. 

4.  Love  story  of  Vinicius  and  Lygia.     (Principal  action.) 

5.  Love  story  of  Petronius  and  Eunice. 
Sub-actions. 

6.  Story  of  Chilo. 

7.  Attachment  of  Ursus  to  Lygia. 

8.  Rivalry  of  Petronius  and  Tigellinus. 

49.  Sequence  of  Simple  Narratives.  —  The  divergence 
between  action  and  narration  is  clearly  seen  whenever  the 
continuity  of  the  former  is  interrupted  in  the  latter,  as 
almost  invariably  happens  in  any  plot  at  all  complicated. 
The  modern  novelist  generally  omits  the  old-fashioned 
formulas,  "  we  must  now  leave  A  and  B  for  a  time  and 
follow  the  fortunes  of  C  and  D,"  etc.,  but  the  breaks  are 
still  in  evidence.  Simplicity  or  complexity  of  plot-struc- 
ture depends  partly  on  the  mere  number  of  single  actions, 
but  more  distinctly  on  their  relations  in  the  narrative,  of 
which  sequence  is  an  important  phase.  Certain  theoretical 
forms  of  sequence  may  be  distinguished.  While  these  are 
commonly  combined  in  actual  plot,  one  or  another  may  be 
clearly  predominant. 

1.  The  episodic,  J_  _*_  _!_  _1_,  etc. 

2.  The  alternating,  J E_  _L  J L  _L,  etc. 

3.  The  dependent, 

4.  The  interwoven, 

Of  these,  the  episodic  is  the  simplest,  but  results  in  a 
looseness  of  plot,  usually  avoided  in  part  by  the  persistence 
of  some  one  simple  enveloping  or  main  action.  The  third 
method  is  somewhat  confusing,  as  it  compels  one  to  imagine 
two  or  more  place  and  time  settings  and  groups  of  dramatis 
personae  at  one  time.  In  double  form  it  is  found  in  all 


PLOT 


57 


cases  of  intercalated  narrative ;  interesting  examples  of 
triple  form  occur  in  Euphues  and  Frankenstein.  At 
one  point  in  the  latter  romance,  the  primary  place  setting 
is  a  ship  in  the  northern  seas;  the  secondary,  a  remote 
island  of  Scotland ;  the  tertiary,  the  fair  lakes  of  Switzer- 
land. The  typical  plot-structure  of  an  artistic  novel  is 
based  on  a  combination  of  the  second  and  fourth  formulas. 
Interweaving  is  most  imperative  at  climax  and  catastrophe, 
^especially  the  latter. 

In  a  well-constructed  novel,  the  chapter  is  generally  a 
satisfactory  unit  for  examining  the  sequence  of  narratives. 


SEQUENCE   OF    SIMPLE    NARRATIVES    IN    JANET  S 
REPENTANCE 


CHAPTER 
I 
2 

3 

i 

2 

3 

4 

5 

6 

7 

8 

9 

i? 

18 

19 

20 

21 

22 

23 

24 

25 

26  27 

— 

— 

— 

- 

— 

— 



i,  Spiritual  history  of  Janet  Dempster;  2,  spiritual  history  of  Edgar 
Tryan  ;  3,  ecclesiastical  relations  of  Milby  to  the  rest  of  England. 

SEQUENCE    OF    SIMPLE    NARRATIVES    IN    SILAS    MARNER 


CHAPTER 

i 

2 

3 

4 

5 

6 

7 

8 

9 

10 

ii 

12 

13 

M 

15 

16 

17 

18 

19 

20 

21 

CON. 

I 

— 



— 

— 

— 

—  • 

-»- 

-» 



— 

— 

— 

— 

-•- 



3 

— 

— 

— 

— 

— 

— 

— 

— 

— 

— 

— 



i,  History  of  Silas  Marner ;  2,  history  of  Godfrey  Cass ;  3,  social  life 
of  Lantern  Yard  and  Raveloe. 

50.  The  Dramatic  Line.  — The  dramatic  line  is  a  name 
for  the  design  of  the  whole  plot-movement  as  determined 
by  points  of  special  importance  called  ''turning-points." 
In  a  more  strict  sense  it  applies  only  to  a  movement  hav- 
ing a  definite  climax  about  halfway  between  the  initial 


58  THE   STUDY   OF   A   NOVEL 

point  and  the  catastrophe.  The  term  "climax"  in  this 
technical  sense  must  be  distinguished  from  its  general 
rhetorical  use,  and  specially  from  a  common  usage  which 
identifies  it  with  the  catastrophe.  The  movement  from  the 
initial  point  to  the  climax  is  called  the  "  rise  " ;  from  the 
climax  to  catastrophe,  the  "fall."  The  dramatic  line, 
while  more  characteristic  of  the  drama  than  the  novel,  is 
very  easily  traced  in  many  novels.  Several  other  points, 
besides  the  three  mentioned,  have  been  discovered  and 
named  by  critics  of  plot  —  "  tragic  force,"  "  final  suspense," 
"further  resolution,"  etc.;  and  some  of  these  are  often 
perfectly  distinct  in  a  well-constructed  novel.  The  climax 
and  catastrophe  are  the  most  significant  points,  determin- 
ing, for  example,  the  tragic  or  comic  nature  of  the  plot 
as  a  whole. 


DRAMATIC   LINE   OF     SILAS   MARNER 
.2 

i 


I.  Initial  point:  the  stolen  knife,  Chapter  I. — 2.  Climax:  the 
coming  of  Eppie,  Chapter  XII.  —  3.  Catastrophe:  Eppie's  resolve 
to  remain  with  Silas,  Chapter  XIX. 


DRAMATIC    LINE   OF    PRIDE   AND   PREJUDICE 

A' 

v      V/ 

i.  Initial  point:  the  arrival  of  Bingley,  Chapter  I. — 2.  Climax? 
Darcy's  proposal,  Chapter  XXXIV.  —  3.  Tragic  force:  Darcy's 
letter,  Chapter  XXXV.  —  4.  Final  suspense:  Lady  dc  Bourgh's 
interference,  Chapter  LVI.  —  5.  Catastrophe:  Elizabeth's  engage- 
ment, Chapter  LVI II. 


PLOT  59 

51.  The  Climax.  —  In  a  novel,  the  climax  is  generally 
somewhat  diffused,  and  it  may  not  always  be  possible  to 
locate  it  in  a  single  paragraph  or  sentence.  In  some  cases 
it  is  quite  central ;  in  others,  nearer  the  catastrophe  than 
the  initial  point  —  the  fall  of  the  action  being  more  rapid 
than  the  rise.1  In  all  novels  it  is  likely  to  be  marked 
by  some  striking  external  event  or  incident  —  historical 
often  in  historical  fiction,  social  in  the  novel  of  manners, 
etc.  In  fiction  in  which  character  is  supreme,  this  external 
climax  is  always  accompanied  by  an  intellectual  or  moral 
crisis  in  the  important  characters.  In  novels  of  philo- 
sophical quality,  it  is  frequently  emphasized  by  some  gen- 
eralized reflection,  as  in  Janet's  Repentance:  "There 
are  moments  when,  by  some  strange  impulse,  we  contra- 
dict our  past  selves  —  fatal  moments,  when  a  fit  of  passion, 
like  a  lava  stream,  lays  low  the  work  of  half  our  lives." 
(Chapter  XIV.)  While  the  entire  plot  before  the  climax 
is  in  a  sense  a  preparation  for  it,  the  immediately  preced- 
ing movement  is  usually  more  specifically  preparatory, 
falls  into  well-marked  stages,  and  is  likely  to  be  somewhat 
accelerated.  The  ideal  climax  is  one  which  is  definitely 
common  to  all  the  single  actions ;  but  often  the  separate 
actions  have  somewhat  divergent  climaxes,  in  which  case 
the  closest  approach  to  true  "  plot-climax  "  is  found  in  the 
climax  of  the  principal  action. 

EXAMPLES 

In  Silas  Marner,  the  whole  of  Chapter  XII  is  a  climax.  It  includes 
one  of  the  very  few  striking  external  events  of  the  plot,  but  is  even 
more  distinctly  an  inward  experience  of  the  soul.  In  the  immediate 
event  it  concerns  primarily  the  Silas  Marner  action,  but  in  a  very  clear 
manner  it  is  a  culminating  point  in  both  the  main  actions,  and  the  chief 

1  In  the  drama,  Freytag  and  Moulton  find  it,  usually,  close  to  the  center. 


60  THE   STUDY   OF   A   NOVEL 

motivating  force  of  both  throughout  the  further  development  of  the  plot. 
A  more  specific  location  might  find  a  climax  at  the  point  in  which  the 
"  counter-play "  (see  glossary)  becomes  "  play " ;  the  moment  when 
Silas  Marner  ceases  to  be  passive  under  his  fate,  and  begins  to  mould 
his  own  fortunes  —  "  Marner  stooped  to  lift  it  on  his  knees." 

In  Pride  and  Prejudice,  the  exact  point  of  climax  is  again  found 
only  in  the  principal  action,  but  it  is  obviously  a  real  turning-point  for 
the  other  main  actions.  Especially  does  the  tragic  force,  Darcy's  letter, 
relate  causally  to  the  future  of  Jane  and  Bingley  and  Wickham,  as  well 
as  Elizabeth  and  Darcy  themselves.  This  climax  is  a  definite  external 
event,  striking  enough  to  the  two  characters  immediately  concerned, 
though  not  so  exciting  to  the  reader ;  but  its  deeper  quality  is  clearly 
psychological  —  it  is  a  distinct  crisis  in  the  moral  development  of  both 
lovers.  It  may  be  noted  that  this  climax  is  curiously  near  the  center 
of  the  novel.  The  tragic  force  is  emphasized  by  the  epistolary  form, 
and  followed  by  one  of  the  few  significant  soliloquies  of  the  novel  — 
"  How  despicably  have  I  acted,"  etc. 

52.  The  Catastrophe. — The  climax  is  sometimes  very 
faintly  indicated,  perhaps  omitted  altogether;  the  very 
nature  of  artistic  narrative  demands  a  more  or  less  em- 
phatic catastrophe.  While  art  must  deviate  somewhat 
from  life  at  this  point,  and  very  often  degenerates  into 
artificiality,  catastrophe  has  a  foundation  in  actual  experi- 
ence. The  statement  of  certain  realistic  critics  that  noth- 
ing comes  to  an  end  outside  of  fiction,  is  true  only  in  a 
limited  sense.  Scientifically,  we  may  perceive  the  continu- 
ity of  material  and  social  forces,  but  our  imaginative  and 
moral  interpretation  of  experience  locates  certain  points 
which  are,  for  our  purposes,  final.  The  Emancipation 
Proclamation  may  be  considered  almost  the  beginning  of 
the  "  negro  problem,"  in  the  current  sense,  but  it  is  not 
therefore  a  mistake  to  consider  it  as  the  close  of  the  history 
of  slavery  in  America.  Every  death,  and,  in  spite  of  its 
hackneyed  treatment  in  the  novel,  every  marriage,  is  a  real 
catastrophe  in  the  lives  of  a  group  of  people  —  it  concludes 


PLOT  6 1 

certain  episodes  conveniently  if  not  logically  viewed  as 
detachable  unities  of  experience. 

Artificiality  in  novelistic  catastrophe  takes  many  forms. 
Forced  pessimism  or  optimism,  whether  due  to  the  wilful- 
ness  of  the  author  or  his  slavery  to  the  reading  public,  are 
unfortunately  common.  An  artifice  of  less  ethical  signifi- 
cance is  the  forced  ensemble,  whether  the  characters 
actually  meet,  or  are  assembled  merely  in  the  imagination 
of  the  novelist.  While  life  shows  its  own  group  catastro- 
phes, it  is  not  so  common  in  ordinary  social  experience  as  in 
fiction  to  find  a  single  event  distinctly  final,  introductory  to 
a  permanent  situation,  and  equally  significant  for  a  con- 
siderable number  of  people.  Frequently  the  artificiality 
lies  not  so  much  in  the  mere  event  of  the  catastrophe  as  in 
the  motivation,  or  the  speed  with  which  it  is  approached. 

Representative  types  of  catastrophic  event  are  separa- 
tion or  reunion  of  characters ;  discovery  of  mistaken  iden- 
tity; discovery  and  punishment  of  crime;  marriage,  and 
death.  Perhaps  the  grandest  catastrophe  ever  conceived 
by  human  imagination  is  the  judgment  day.  This  has 
found  a  place  in  the  religious  drama;  but  even  in  the 
broadest,  most  "epic,"  of  historical  romances,  the  final 
event  rarely  reaches  such  dimensions.  The  modern  real- 
istic tendency  is  to  find  the  most  significant  catastrophe  as 
well  as  climax,  in  the  moral  experience  of  the  individual. 
Modern  imagination  cannot  unify  the  moral  experiences 
of  the  whole  human  race  so  easily  as  did  the  medieval 
imagination. 

The  novel  is  generally  less  hurried  than  the  drama  in  conclusion  as 
well  as  beginning.  The  technical  catastrophe  is  often  at  some  little 
distance  from  the  final  paragraph,  as  indicated  in  the  diagrams  of 
Section  50.  In  Silas  Marner  the  author  follows  the  -Shakespearian 
method  of  introducing  a  passage  of  comparative  calm  after  the  more 


62  THE   STUDY   OF   A  NOVEL 

intense  conclusion  of  the  tragic  movement;  though  in  the  dramatist 
such  passages  are  always  much  more  brief  than  the  "  Conclusion "  of 
Silas  Marner. 

EXAMPLES 

Ivanhoe.  The  catastrophe  includes  marriage,  conversion  (of 
Rebecca),  reconciliation,  discovery  of  identity. 

Last  of  the  Mohicans.  The  catastrophe  is  mainly  in  the  external 
history  of  the  characters ;  including  death,  freedom  from  captivity, 
separation  of  friends. 

Quo  Vadis.  The  historical  quality  of  the  plot  is  emphasized  by 
the  epic  breadth  of  events,  and  the  death  of  Nero  and  Petronius ;  the 
religious  quality  by  the  conversion  of  Chilo  and  the  death  of  Peter. 

Pride  and  Prejudice.  Jane  Austen  has  here  varied  the  common 
formula  by  making  the  engagements  instead  of  the  marriages  of  the 
sisters  the  chief  events.  The  engagement  of  Elizabeth  comes  last, 
emphasizing  her  predominance  in  the  whole  plot.  After  the  real 
catastrophe,  there  follow  two  leisurely  chapters  giving  the  final  situa- 
tion with  comparatively  little  movement. 

53.  Motivation.  — This  is  a  technical  term  to  denote  the 
causation  of  the  plot-movement,  especially  in  reference  to 
its  conscious  artistic  management.  It  is  to  be  distinguished 
from  "  motif  "  and  "  motive,"-  — the  purpose  of  a  character ; 
an  important  but  by  no  means  the  only  type  of  motivating 
force. 

Some  critics  have  attempted  to  distinguish  between  the 
dramatic  and  epic  narrative  in  respect  to  motivation.  Zim- 
merman writes : 1  "  The  dramatic  imagination  falls  under  the 
category  of  causality,  the  epic  only  under  the  presentation 
form  of  time  "  ;  including  the  novel  under  the  epic.  This 
statement  does  not  agree  with  the  practise  of  the  greater 
novelists  or  with  representative  modern  theory  of  novel- 
istic  plot.  Walter  Scott  gives  a  higher  and  more  accept- 


PLOT  63 

able  view,  though  without  any  statement  of  aesthetic 
principle,  in  this  passage :  "  The  most  marked  distinction 
between  a  real  and  a  fictitious  narrative  [is]  that  the 
former,  in  reference  to  the  remote  causes  of  the  events  it 
relates,  is  obscure,  doubtful,  and  mysterious ;  whereas  in 
the  latter  case,  it  is  a  part  of  the  author's  duty  to  afford 
satisfactory  details  upon  the  causes  of  the  separate  events 
he  has  recorded,  and,  in  a  word,  to  account  for  everything." 

Scott's  last  phrase,  however,  is  too  strong,  as  he  himself  points  out 
elsewhere  in  reference  to  Mrs.  Radcliffe's  catastrophic  explanation  of 
her  mysteries  of  plot.  yEsthetically  considered,  the  main  function  of  *; 
motivation  is  to  increase  the  z^^^iofjjgality,  which  might  be  destroyed 
if  every  incident  were  given  definite  and  clear  causal  explanation ;  for 
life  itself  is  not  so  simple.  When  Eppie  comes  to  Silas  Marrrer,  we 
know  why  her  mother  died,  why  the  baby  crept  to  the  cottage,  why 
Silas  did  not  see  her  at  first,  etc. ;  but  in  the  novel,  as  it  might  have 
been  in  life,  it  seems  purely  a  chance  coincidence  that  the  mother's 
death  occurs  just  at  that  particular  furze  bush  near  the  weaver's  home. 
Again,  there  is  no  special  explanation  given  to  account  for  Eppie  and 
Aaron  falling  in  love  so  conveniently. 

Structurally,  motivation  may  be  given  in  mass,  or  in 
solution ;  before,  with,  or  after  the  effects ;  by  one  contin- 
uous force,  or  many,  changing  forces ;  through  the  plot 
itself  or  the  characters,  or  from  the  outside,  as  it  were.  It 
naturally  receives  special  attention  at  the  main  points  of 
the  dramatic  line.  The  catastrophe  is  often  an  occasion 
for  a  general  massing  of  motive  forces,  either  by  way  of 
review,  or  of  explanation  not  previously  given.  In  relation 
to  their  results,  motive  forces  may  be  adequate,  insufficient, 
or  excessive.  Many  effects  of  tragedy,  irony,  and  carica- 
ture are  obtained  by  subtle  treatment  of  these  relations. 

54.  Motivating  Forces.  —  The  most  important  influences 
shaping  the  plot-movement  of  a  novel  are  nature,  society, 


64  THE   STUDY   OF   A  NOVEL 

individual  character,  the  supernatural  or  superhuman, — 
chance,  fate,  providence,  etc.,  —  and,  in  a  sense,  the  decree 
of  the  novelist  himself.  As  in  real  life,  thorough  under- 
standing of  events  may  imply  some  separate  notice  of 
proximate  and  remote  causes. 

Defoe,  for  example,  characteristically  combines  practical,  common- 
place causes  with  the  more  ultimate  influence  of  Providence.  In  The 
Plague  Year  he  accepts  the  view  that  the  pestilence  was  "  a  stroke  from 
heaven  —  a  messenger  of  [God's]  vengeance";  but  adds,  "When  I 
am  speaking  of  the  Plague  as  a  distemper  arising  from  natural  causes, 
we  must  consider  it  as  if  it  was  really  propagated  by  natural  means," 
etc. ;  distinguishing  the  relation  of  the  two  causes  at  some  length. 

Naturalism,  in  the  full  sense  of  the  word,  traces  all  causes 
back  to  the  one  primary  cause  —  Nature.  Character  is  de- 
termined by  heredity,  animal  instinct,  natural  environ- 
ment, etc. ;  external  events  —  war,  pestilence,  individual 
birth  and  death,  rise  and  decline  of  racial  supremacy  — 
are  links  in  a  continuous  causal  series  governed  by  Nature. 
In  the  novel  of  manners  and  allied  types  of  fiction,  society 
is  the  chief  motivating  force ;  in  the  psychological  novel, 
the  conscious  and  unconscious  forces  of  the  individual 
predominate;  in  the  religious  novel  and  many  types  of 
romance,  the  supernatural  influences  are  prominent.  Mrs. 
Radcliffe's  special  method  was  to  introduce  apparently 
supernatural  causes,  and  afterwards  explain  them  as  natu- 
ral, though  unusual. 

When  a  single  character  of  the  novel  is  a  primary  influ- 
ence in  shaping  the  events,  he  is  called  technically  a 
"  motivating  character " ;  in  the  traditional  phrase,  a 
deus  ex  machina.  If  his  influence  is  for  the  good,  he  be- 
comes a  "  dramatic  providence  " ;  if  for  the  evil,  he  corre- 
sponds more  or  less  closely  to  the  typical  "  villain."  The 


PLOT  65 

power  given  to  such  characters  is  often  so  large  that  the 
imagination  refuses  to  accept  the  illusion  of  reality.  Often: 
the  novelist  himself  appears  as  a  striking  dcus  —  or  dia- 
bolus  —  ex  macJiina.  Reserve,  sincerity,  dramatic  imagi-1 
nation,  or  their  opposites,  are  as  distinctly  marked  in 
motivation  as  in  any  function  of  the  novelist.  Arbitrary 
optimism  or  pessimism  gives  a  one-sided  ethical  inter- 
pretation of  the  government  of  human  destiny ;  pro- 
nounced realism  often  traces  all  results  to  such  petty 
causes  that  the  beauty,  if  not  the  verisimilitude,  of  the  plot 
is  destroyed ;  exaggerated  romanticism  is  satisfied  only 
with  grand,  remote  causes  which  do  not  correspond  with 
those  observed  in  our  own  experience.  Any  one  who  has 
written  a  single  short  story  realizes  the  persistent  and  diffi- 
cult problem  of  artistic  motivation.  It  is  a  matter  that 
requires  great  natural  gift  or  long  practise  in  order  that 
art  may  conceal  art. 


EXAMPLES   OF   MOTIVATION 

The  Plague  Year.  Another  example  of  the  mingling  of  human  with 
providential  causes  occurs  in  explaining  why  the  narrator  remained  in 
the  plague-stricken  city  —  his  business  demands  it ;  his  servant  has 
abandoned  him;  but  there  is,  also,  specific  supernatural  guidance  by 
means  of  the  Biblical  passage.  The  cessation  of  the  plague  is  traced 
entirely  to  Providence:  "Nothing  but  the  immediate  finger  of  God, 
nothing  but  Omnipotent  Power,  could  have  done  it ! " 

Pride  and  Prejudice.  While  the  general  motivation  is  largely 
social,  it  is  distinctly  psychological  in  Elizabeth  Bennet  and  Darcy. 
They  shape  their  own  destinies,  and  have  much  influence  over  others. 
There  is  rational,  psychological  motivation  for  their  love,  in  contrast 
with  love  at  first  sight  in  Rosalind  and  Orlando,  Romeo  and  Juliet,  and 
the  unexplained  development  of  love  in  Eppie  and  Aaron.  Wickham 
approaches  the  structural  function  of  a  villain.  Relatively  accidental 
or  trivial  causes  bring  Mr.  Bingley  to  Netherfield  House  and  Elizabeth 


66  THE   STUDY   OF   A   NOVEL 

to  Pemberley  Park.  Nature  has  comparatively  small  place  in  the  moti- 
vation of  Jane  Austen.  The  rain-storm  of  Chapter  VII  is  of  some 
importance,  and  is  naturally  introduced. 

Silas  Marner.  The  novel  is  predominantly  psychological,  and 
self-motivation  has  large  place  in  Silas  and  Godfrey,  especially  the 
latter.  In  both  it  is  distinctly  ethical.  The  novelist  approaches  the 
villain  in  William  Dane  and  Dunstan  Cass.  Social  motivation  is 
specially  prominent  in  the  casting  of  lots  and  in  the  influence  of  public 
ppinion  in  Raveloe.  A  striking  substitution  of  moral,  human  motiva- 
tion for  natural  is  found  in  the  character  of  Eppie.  Her  development 
into  a  sweet,  frank  nature  could  hardly  be  explained  by  inheritance  — 
perhaps  is  a  violation  of  the  scientific  law  of  heredity  —  but  is  traced 
to  the  human  environment,  the  loving  interest  of  Silas  and  the  com- 
munity. Above  all  human  causes  is  the  dim  First  Cause ;  mysterious, 
but  bringing  just  punishment  for  sin,  and  salvation  for  the  righteous 
soul  that  has  suffered  man's  inhumanity  to  man. 

55.  The  Narrator.  His  Point  of  View.  —  It  is  clear  that 
there  can  be  no  narration  without  a  central  narrator  who 
is  the  real  plot-maker.  In  the  novel  he  may  be  very  much 
in  evidence  or  remain  behind  the  scenes,  but  it  is  never 
strictly  true  that  "the  characters  tell  their  own  story." 
In  Pamela,  Richardson  arranges  the  letters,  not  imagined 
as  even  collected  by  any  one  else,  and  determines  the 
plot-movement  as  truly  as  does  Smollett  in  Roderick 
Random.  The  primary  narrator  is  always  the  author,  in 
propria  persona i  as  a  writer,  though  he  may  assume  to  be 
merely  editor  or  listener,  or  in  other  ways  introduce  sec- 
ondary (dramatic)  narrators  between  himself  and  the 
reader.  Even  when  he  enters  the  action  as  an  important 
dramatis  persona,  he  is  perfectly  distinct  from  all  the  other 
characters,  in  his  narrative  function.  Except  in  fiction  of 
the  I-form,  the  author  is  the  only  one  acquainted  with  all 
the  incidents  of  the  plot. 

The  narrator  takes  some  general  point  of  view  for  the 
entire  action,  and  specific  points  of  view  for  every  part  of 


PLOT  67 

it,  in  reference  to  time,  place,  characters,  social  and  ethical 
philosophy,  etc.  The  unity  of  a  passage  or  a  plot  depends 
largely  on  the  clearness  and  stability  of  his  position.  The 
novelistic  narrator,  however,  is  given  great  freedom  in  this 
respect,  which  one  has  only  to  examine  to  discover  how 
different  the  novel  is  from  life.  He  may  hold  himself 
aloof  from  his  characters  and  action,  observing  them  as  a 
mere  spectator  or  student  of  life,  with  miraculous  power  td 
move  at  will  through  time,  space,  and  the  thoughts  and 
feelings  of  men ;  or  partially  identify  himself  with  his  own 
creation,  —  as  an  imminent  divinity.  —  or  alternate  between 
the  two  positions.  Taking  "  the  reader's  point  of  view  " 
is  often  attempted,  but  is  in  a  strict  sense  impossible. 

56.  Temporal  Point  of  View.  —  When  is  the  narration 
recorded  in  reference  to  the  time  bf  action  ?  The  modern 
third-person  novel  may  avoid  the  appearance  of  being  a 
document  at  all,  entirely  subordinating  .the  reality  of  the 
narrative  to  the  illusion  of  the  action.  It  is  curious  to  note 
Jane  Austen  lapsing  for  a  moment  from  her  famous 
dramatic  objectivity  in  Pride  and  Prejudice:  "It  is  not 
the  object  of  this  work  to  give  descriptions  of  Derby- 
shire," etc.  (Chapter  XLII.)  In  autobiographical  fiction 
(for  example,  Robinson  Crusoe),  or  in  other  forms  of  im- 
aginary manuscript  (for  example,'  The  Castle  of  Otranto), 
the  fictitious  time  of  writing  may  be  treated  artistically 
as  part  of  the  illusion.  Autobiographical  fiction  often  has 
a  peculiar  warmth  of  the  present,  because  of  the  influence 
of  vivifying  memory. 

Ordinarily,  when  we  notice  the  necessary  inferences,  we 
see  that  the  narration  could  not  have  been  begun  until  the 
action  was  complete.  All  direct  anticipation  (see  Sec- 
tion 40)  interrupts  the  illusion  of  an  immediate  present 
action.  The  journal  form,  and  sometimes  the  epistolary, 


68  THE   STUDY   OF  A  NOVEL 

as  noted  by  Richardson  in  reference  to  his  own  works,  are 
technically  distinguished  as  narratives  immediately  follow- 
ing or  accompanying  the  action.  The  action  supposed  to 
occur  in  the  future,  as  in  some  Utopian  fictions,  belongs 
to  the  impossibilities  of  romance,  and  serious  effort  at 
illusion  of  futurity  is  rarely  maintained.  It  is  not  uncom- 
mon to  bring  the  narrative  to  a  present  tense  coincidence 
With  the  action  at  the  catastrophe,  perhaps  with  a  peep 
into  the  possible  future.  The  historical  present  is  an  aid 
to  illusion  in  brief  passages,  but  if  employed  too  much 
would  be  intolerably  artificial,  and  destructive  of  veri- 
similitude. 

The  events  of  the  stage  drama  are  given  in  chronological  order, 
though  the  dramatist  freely  condenses  or  omits  portions  of  the  action ; 
but  in  the  novel  inversion  of  chronological  order,  and  a  narrative 
sequence  for  synchronous  actions,  are  constantly  found.  An  example 
of  such  inversion  is  found  at  the  opening  of  Silas  Marner  —  the  in 
medias  res  formula ;  and'  of  the  narrative  sequence  in  the  same  novel, 
Chapters  XI  and  XII. 

A  special  form  of  temporal  point  of  view  is  occasionally  found  in 
TCIXOCTKOTTIO,  in  which  the  narrator  —  usually  episodic  —  reports  action 
while  it  is  occurring.  This  device  is  more  characteristic  of  the  drama 
than  the  novel,  and  of  romance  than  realism.  It  is  found  in  Suder- 
mann's  Magda,  Ibsen's  Pretenders,  Hedda  Gabler,  Tennyson's  Harold, 
etc.  A  noted  example  in  the  romance  is  Rebecca's  report  of  the  fight 
before  the  castle  of  Front-de-Boeuf. 

EXAMPLES  OF  COMPLEX  TEMPORAL  POINT  OF  VIEW 

At  the  opening  of  Chapter  XVI  of  Silas  Marner,  the  time  point  of 
view  is  threefold:  (i)  The  novelist  is  in  general  considering  a  period 
some  forty  years  before  her  narration,  and  contrasts  the  two  times  by 
the  phrase,  "of  that  time "  ;  (2)  she  uses  the  present  tense  to  increase 
the  illusion  of  immediacy  —  "  is  not  much  changed  ; "  (3)  she  recalls 
the  action  of  sixteen  years  before,  by  narrative  reminiscence.  (There  is 
no  sign  that  the  characters  are  in  a  mood  of  memory  at  this  point,  or 
ever  fully  realize  all  the  changes  the  author  points  out.) 


PLOT  69 

In  James  White's  Earl  Strongbow,  the  real  time  of  the  narrative 
is  1789  (date  of  publication)  ;  the  date  of  the  fictitious  discovery  of  the 
manuscript  is  1740 ;  of  the  writing  of  the  manuscript,  about  1660 ;  of  the 
main  action,  the  period  of  Henry  II,  the  hero  dying  in  1177.  The  last 
three  time  points  belong  to  the  illusion,  and  there  is  definite  artistic  con- 
trast between  the  last  two,  as  in  the  spirited  passage  (close  of  Night 
Four),  "  such  were  the  days  of  chivalry,"  etc.  The  hero  of  this  fiction 
has  had  an  unusually  long  experience  as  a  ghost  —  about  five  hundred 
years. 

57.  Spatial  Point  of  View.  —  This  is  most  frequently 
considered  with  reference  to  description  of  places,  objects, 
and  persons,  isolated  or  in  scenes ;  but  it  is  also  significant 
in  pure  narrative.  It  may  help  to  determine  whether  a 
given  occurrence  shall  be  regarded  mainly  as  of  descrip- 
tive or  narrative  interest.  A  battle  a  mile  or  two  distant 
from  the  spectator  may  naturally  be  considered  as  a  picture ; 
but  if  he  is  at  the  battle  center  (theoretically  out  of  danger), 
he  will  be  compelled  to  attend  to  the  neighboring  movement, 
with  its  complicated  and  changing  incidents. 

In  the  plot  as  a  whole,  the  spatial  point  of  view  concerns 
the  range,  distance,  and  scale  of  the  visual  field,  and  its 
general  relation  to  the  author's  mind.  This  field  may  be 
purely  imaginary,  typical,  or  concretely  real  —  long-remem- 
bered, freshly  observed,  or  actually  before  the  author  as  he 
writes.  Great  range  is  found  in  the  "international  novel," 
and  all  forms  of  the  novel  of  travel ;  the  greatest  in  romance 
which  leaves  the  earth  itself  for  more  remote  regions.  The 
scale  of  measurement  is  usually  that  of  ordinary  conscious- 
ness, which  permits  a  wide  variety ;  but  in  romance  it  may 
undergo  transformation,  as  in  Gulliver's  Travels,  many 
fairy  stories,  and  some  fictions  with  an  animal  or  object  as 
autobiographer. 

The  spatial  range  of  Pride  and  Prejudice  is  limited  to  certain  por- 
tions of  England.  The  scale  of  measurement  is  partly  indicated  by  the 


70  THE   STUDY   OF  A  NOVEL 

remark  of  Elizabeth  Bennet  in  Chapter  XXXII :  "  An  easy  distance 
you  call  it?  It  is  nearly  fifty  miles."  In  Silas  Marner,  the  hero 
comes  to  Raveloe  from  "distant  parts"  —  possibly  a  hundred  miles 
away  —  from  the  "  unknown  region  called  North'ard."  (Among  other 
effects,  the  railroad  has  lengthened  the  everyday  measuring  rod  of  the 
novelist.)  In  Robinson  Crusoe,  Defoe's  imagination  passes  over  much 
of  the  habitable  globe ;  yet  is  singularly  alert  in  the  topography  of  the 
island-home  and  its  immediate  environment. 

The  spatial  point  of  view  necessarily  changes  frequently 
for  the  individual  incidents  of  a  novel.  It  is  not  a  mere 
matter  of  setting  for  an  event,  but  modifies  the  actual  con- 
tent of  incident,  consequently  its  emphasis  and  its  value 
in  the  unity  of  plot.  To  persons  of  little  imaginative  or 
experiential  space  range,  events  which  occur  at  a  remote 
distance  are  as  dim  as  those  of  a  dream.  Scott  could  not 
have  given  the  details  of  Robin  Hood's  bow-shooting 
(Section  31)  unless  he  placed  himself  within  a  hundred 
yards  or  so  of  the  bowman.  If  the  novelist  leaves  an  inci- 
dent without  specific  time  or  place  relation,  we  know 
that  he  was  not  closely  identified  with  it,  or  does  not  desire 
to  emphasize  it. 

Most  of  the  interior  incidents  of  Silas  Marner  are  located  in  specific 
rooms ;  but  many  of  those  in  Pride  and  Prejudice  are  not,  and  some 
of  them  have  neither  specific  time  nor  place  setting.  In  Chapter  VI,  we 
do  not  know  when  or  where  [Elizabeth]  "  mentioned  this  to  Miss 
Lucas."  On  the  other  hand,  at  least  six  times  in  this  novel  we  are 
looking  either  at  or  out  of  some  definite  window. 

Whenever  characters  approach  one  another  or  objects,  the  novelist 
usually  takes  some  definite  position  in  relation  to  the  line  of  approach. 
In  Pride  and  Prejudice,  the  author  approaches  Hunsford,  Rosings, 
the  Bcnnet  home,  the  Gardiners'  London  residence,  Pemberley  House, 
with  Kli/abrth  Bennet.  In  the  "Conclusion11  of  Silas  Marner,  the 
novelist  sees  Eppie  at  a  "  little  distance  " ;  later  sees  her  approach  from 
the  Rainbow  group,  and  finally  moves  towards  the  Stone  Pits  with  her. 
A  fully  developed  and  compact  "scene"  is  generally  characterized  by  a 
greater  fixity  of  spatial  position  than  is  here  found. 


PLOT  71 

58.  Character  Point  of  View.  —  In  fiction  in  which  the 
I-form  is  sustained,  unity  of  plot  is  greatly  aided  by  the 
single  central  narrator  ;  but  often  such  fiction  introduces 
several  other  secondary  narrators.  In  genuinely  autobio- 
graphical form,  the  author  is  inevitably  identified  to  some 
extent  with  the  dramatic  narrator,  if  for  no  other  reason 
than  that  he  is  so  closely  and  continuously  associated  with 
him.  In  other  forms  of  fiction,  the  author  often  increases 
the  unity  by  some  degree  of  general  identification  with  a 
single  character,  or  by  identification  with  different  charac- 
ters in  the  separate  incidents.  If  a  single  central  character 
represents,  in  general  outline,  the  actual  or  ideal  experience 
of  the  author  as  a  real  individual,  as  in  Pilgrim's  Progress, 
and,  to  a  less  extent,  Robinson  Crusoe,  there  is  a  high 
degree  of  unity ;  but  when  this  identification  is  much  inter- 
rupted or  episodic,  as  in  The  Mill  on  the  Floss,  David 
Copperfield,  and  Anna  Kar^nina,  the  unity  may  be  in- 
jured rather  than  aided. 

The  identification  of  the  author  with  a  character  may  be 
quite  external,  as  in  a  coincident  temporal  and  spatial  point 
of  view ;  or  much  more  profound,  in  coincidence  of  tem- 
perament, habits,  principles,  and  ideals.  Except  in  auto- 
biographical form,  such  identification  is  never  complete, 
for  no  one  character  knows  all  that  the  author  knows  of 
the  movement  of  the  plot. 


In  Pride  and  Prejudice  the  author  seems  to  be  very  closely  identi- 
fied with  Elizabeth  Bennet,  in  temperament  and  principle,  if  not  in 
experience ;  but  Elizabeth  never  knows  the  details  of  Miss  Bingley's 
criticism  of  her,  or  the  personal  opinion  Miss  Austen  gives :  "  If  grati- 
tude and  esteem  are  good  foundations  of  affection,  Elizabeth's  change 
of  sentiment  will  be  neither  improbable  or  faulty.  But  if  otherwise  .  .  . 
nothing  can  be  said  in  her  defence."  (Chapter  XLV1.)  This  is  probably 
the  only  passage  in  which  the  author  actually  appears  with  her  heroine, 


72  THE   STUDY   OF  A   NOVEL 

as  a  distinctly  different  person.     In  general,  Elizabeth  knows  as  much 
about  herself  as  the  novelist  knows  of  her. 

Many  effects  of  dramatic  irony  depend  on  this  condition,  that  the 
author  (and  the  reader)  is  more  omniscient  than  any  single  character. 
In  Silas  Marner,  the  hero  never  knows  the  whole  story  of  Godfrey's 
first  marriage;  Godfrey  knows  nothing  of  Marner's  Lantern  Yard  ex- 
periences. 

59.  Generalized  Statement  of  Plot.  —  Study  of  an  indi- 
vidual plot  according  to  the  foregoing  analysis  may  be  fol- 
lowed by  a  condensed  statement  of  its  typical  outline,  as 
a  basis  for  classification,  judgment,  and  comparison  with 
other  plots.  As  one  moves  from  more  concrete  to  more 
abstract  statement,  the  oft-repeated  truth  that  literature 
contains  only  a  very  few  typical  plot-movements  becomes 
more  apparent.  Even  the  most  abstract  formula,  however, 
should  include  all  that  is  essential  in  the  outline  of  the 
individual  plot.  A  plot  correctly  analyzed  into  several 
actions  cannot  be  adequately  stated  in  the  terms  of  any 
one  action. 

EXAMPLES   OF   GENERALIZED    STATEMENT   OF   PLOT 

Silas  Marner.  A  statement  may  easily  be  made  by  combining  the 
two  main  actions  as  given  in  Section  48. 

More  abstract  statement.  Converging  interests  of  A  and  B  through 
the  agency  of  C,  which  brings  merited  happiness  to  A,  merited  but 
salutary  unhappiness  to  B. 

Pride  and  Prejudice.  Very  abstract  statement.  Emotional  conver- 
gence of  (A,  B),  (C,  D).  Divergence  through  misunderstanding, 
character  weakness  of  A  and  B,  and  deceit  of  E.  Reconvergence  of 
couples  and  group  through  discovery  of  E's  villainy,  and  character 
reform  of  A  and  B. 

Pamela.  A  young,  unprincipled  aristocrat  attempts  to  seduce  a  peas- 
ant girl  in  his  household  employment.  Her  long-continued  virtuous 
resistance  leads  to  his  reform  and  happy  marriage  with  her. 

More  abstract  statement.  Moral  divergence  of  A  and  B  through  A's 
selfish  attempt  to  ruin  B's  character.  Convergence  to  happy  situation 
through  B's  persistent  virtue,  which  reforms  A. 


PLOT  73 

Dofia  Perfecta.  Selfishness  and  mistaken  religious  zeal  in  A  cause 
permanent  tragic  suffering  in  B  (most  beloved  friend  of  A)  and  C  (most 
beloved  friend  of  B). 

60.  Unity  of  Plot.  —  The  unity  of  plot  may  be  discussed 
in  various  ways,  but  it  depends  mainly  on  persistent  point 
of  view,  clear  and  unbroken  motivation,  and  constant  con- 
vergence of  all  action  toward  the  catastrophe,  which  im- 
plies the  omission  of  all  non-essential  incidents,  and  proper 
emphasis  upon  those  recorded. 

Unified  motivation  and  convergence  are  strikingly  repre- 
sented, if  in  a  somewhat  barren  form,  by  such  cumulative 
actions  as  "  for  want  of  a  J3g.il  the  shoe  was  lost,  for  want 
of  a  shoe  the  horse  wasijyt,"  etc.  All  the  essentials  of 
unified  plot  may  be  illustrated  by  a  genealogy  showing  the 
ancestry  of  a  character  A.  The  point  of  view  might  be 
that  of  scientific  interest  in  heredity,  or  of  personal  interest 
in  A ;  the  motivation  is  through  the  law  of  heredity ;  the 
main  convergence  is  between  the  maternal  and  paternal 
lines  of  descent. 

All  intercalation,  reversion,  independent  episode,  digres- 
sion, emphasis  upon  situation,  tend  to  weaken  the  conver- 
gence. "  Scenes  "  are  less  economic  than  pure  events  in 
the  technical  unity  of  plot.  In  Silas  Marner  the  scenes  in 
Chapter  VI  and  Chapter  XXI,  considering  the  space  given 
them,  may  be  judged  somewhat  centrifugal. 

If  a  plot  has  been  analyzed  into  single  actions,  the  study  of  conver- 
gence may  rest  mainly  upon  these,  though  there  may  be  a  convergent 
movement  in  a  single  action.  In  Janet's  Repentance,  the  interests  of 
Janet  and  Mr.  Tryan  approach  by  these  steps:  I.  Janet  is  interested 
in  her  husband's  attack  upon  Mr.  Tryan,  and  helps  prepare  the  mock 
program  ;  2.  The  chance  meeting  ;  3.  The  confession ;  4.  The  min- 
ister's change  of  residence  and  sickness  ;  5.  The  avowal  of  love. 

In  the  introductions  to  The  Monastery  and  The  Fortunes  of 
Nigel,  Scott  distinguishes  the  loose  plot-structure  of  Lesage  and 


74  THE   STUDY   OF  A  NOVEL 

Smollett  from  the  closely  unified  plot  of  Fielding.  Fielding  constructed 
the  novel  with  a  keen  dramatic  sense,  and  ample  experience  in  dramatic 
composition.  His  important  characters  are  all  on  the  stage  at  the  con- 
clusion of  the  action.  The  autobiographical  plot,  in  general,  is  prone 
to  frequent  introduction  of  new  characters,  and  abandonment  of  old 
ones.  An  autobiographical  novel  of  a  psychological  type,  however,  is 
strongly  unified  by  persistent  point  of  view  —  the  purpose,  character,  or 
development  of  the  hero  —  but  is  often  weak  in  motivation  and  conver- 
gence. In  Robinson  Crusoe  there  is  considerable  unity  in  the  social 
and  religious  philosophy  of  the  hero,  —  his  idealization  of  contented 
middle-class  position,  and  his  belief  in  personal  providence ;  but  the 
unity  of  both  motivation  and  convergence  to  catastrophe  is  rather  faint. 

61.  Types  of  Plot.  —  In  relation  to  their  characters,  plots 
are  either  superior,  fairly  cq^A|  or  subordinate  in  value. 
"  Plot-novel "  is  a  name  whiS^may  be  used  to  indicate 
the  first  relation.  Stevenson,  in  the  course  of  his  critical 
defence  of  romance,  emphasized  the  fact  that  it  is  plot 
rather  than  characters  that  allows  a  free,  spontaneous 
play  to  the  reader's  imaginative  longings.  A  rapid  and 
various  movement  of  external  incident  permits  one  tem- 
porarily to  lose  sight  of  his  own  character  and  problems ; 
whereas  the  presence  of  other  well-developed  individuals, 
with  their  insistent  problems,  emotions,  ideals,  and  mode 
of  speech,  may  seem  an  intrusion  and  arouse  friction. 
Sometimes  in  fiction,  as  in  life,  one  wishes  to  be  alone 
with  his  spontaneous  dreams  and  desires. 

In  reference  to  technical  structure,  plots  may  be  clas- 
sified as  :  loose  (episodic),  closely  unified  ;  simple,  complex ; 
catastrophic,  climactic  ;  plots  of  movement,  of  situation, 
etc.  These  terms,  like  most  of  those  used  in  literary 
classification,  are  somewhat  theoretical,  and  not  altogether 
mutually  exclusive. 

The  distinction  between  a  loose  and  closely  unified  plot  is  suggested 
in  Section  60.  In  a  plot  properly  called  episodic  the  principal  interest 


PLOT  75 

must  lie  in  the  episodes  themselves,  considered  as  independent  actions, 
though  there  is  usually  some  persistent  action  connecting  them.  Many 
novels  in  the  I-form  are  episodic,  but  in  a  true  autobiographical  fiction 
the  development  of  the  hero's  own  character  may  be  more  important 
than  his  external  experience  or  the  people  whom  he  meets.  Robinson 
Crusoe,  as  a  whole,  is  a  good  example  of  an  episodic  plot ;  Gulliver's 
Travels  a  still  better  one,  because  the  central  character  is  less  significant. 

A  simple  plot,  in  the  full  sense,  is  one  that  can  be  best 
stated  as  a  single  action.  Its  abstract  scheme  is  represented 
in  the  genealogy  giving  a  single  line  of  descent,  and  its 
concrete  nature  in  an  autobiographical  fiction  in  which  all 
the  incidents  are  unified  l^Mthe  life-history  of  the  hero. 
A  complex  plot  is  one  best  ^plyzed  into  several  persistent 
single  actions  of  unequal  importance.  An  episodic  plot 
may  be  complex  enough  in  its  several  portions,  but  is 
always  simple  in  general  outline.  The  complex  plot 
is  the  usual  type  in  the  novel,  and  the  normal  one,  if 
complexity  is  considered  an  essential  quality  of  novelistic 
style.  Of  course  there  are  countless  degrees  of  com- 
plexity involved  in  the  varying  number,  relative  impor- 
tance, and  arrangement  of  the  single  actions.  The 
actions  are  often  naturally  grouped  into  a  "  main-plot " 
and  a  '.'  sub-plot." 

All  plots  have  some  sort  of  catastrophe,  but  the  term 
"catastrophic"  maybe  specifically  applied  to  those,  whether 
simple  or  complex,  in  which  this  point  is  of  special  impor- 
tance in  unifying  the  whole  movement.  An  episodic  plot 
can  never  in  a  true  sense  be  catastrophic.  The  nature  of 
climactic  plot  has  been  indicated  in  Section  50.  From  the 
meaning  of  the  terms,  all  climactic  plots  are  also  cata- 
strophic. In  a  plot  characterized  by  movement,  the  catastro- 
phe is  distinctly  remote  from  the  initial  point,  owing  to 
multiplicity  of  incident,  and  often  to  duration  of  time.  A 


76  THE   STUDY  OF   A  NOVEL 

plot  of  situation  devotes  itself  to  studying  present  condi- 
tions rather  than  to  changing  them. 

As  to  their  dominant  type  of  incident,  plots  may  be 
classified  as :  comic,  tragic ;  historical,  ideal ;  social,  individ- 
ual ;  objective,  subjective  (psychological),  etc.  In  the 
novel,  as  in  the  drama,  a  tragic  main-plot  with  a  comic 
sub-plot  is  much  more  common  than  the  inverse  relation, 
for  reasons  of  deep  aesthetic  and  moral  significance. 

EXAMPLES   OF    PLOT-TYPES 

Master  and  Man.  Reveals  character  through  plot ;  is  well  unified ; 
simple;  catastrophic;  emphasizes  movement;  tragic;  ideal;  social- 
individual  ;  objective-subjective. 

The  Plague  Year.  A  plot-novel;  somewhat  loose;  simple;  cli- 
mactic ;  emphasizing  situation ;  historical ;  tragic ;  social ;  objective. 

Silas  Marner.  A  novel  of  character;  well  unified;  technically 
complex ;  climactic ;  emphasizing  situation ;  tragic-(comic)  ;  subjec- 
tive; psychological- (social). 

Dona  Perfecta.  Well  unified;  complex;  climactic;  emphasizing 
movement ;  tragic ;  fair  equivalence  of  character  and  action,  objective 
and  subjective,  social  and  individual  qualities. 

Pride  and  Prejudice.  Well  unified ;  complex ;  climactic ;  empha- 
sizing movement ;  in  broad  sense,  comic ;  with  essential  balance  of 
objective  and  subjective,  social  and  individual  interest. 

Gulliver's  Travels.  Subject  really  predominates  over  both  action 
and  characters;  loose;  episodic;  chiefly  situation;  ideal;  satirical; 
social ;  objective. 

62.  The  Judgment  of  Plot.  —  Without  a  distinct  unity 
of  form  or  of  meaning,  no  judgment  upon  a  plot  as  a  whole 
could  be  given.  Further  than  this,  no  single  absolute 
standard  of  judgment  can  be  stated.  The  differences  of 
critical  opinion  rest  upon  profound  differences  of  aesthetic 
and  ethical  Weltanschauung^  which  cannot  be  forced  into 
agreement.  The  critics  who  consider  the  plot  of  Tom 
Jones  to  be  the  best  in  English  fiction  have  a  philosophy 


PLOT  77 

of  life  incompatible  with  that  of  critics  who  give  first 
place  to  Silas  Marner  or  Pride  and  Prejudice.  Neverthe- 
less, certain  representative  standards  may  be  distinguished, 
and  it  may  be  affirmed  that  a  good  plot  must  satisfy  at  least 
one  of  these ;  that  a  supremely  excellent  plot  must  satisfy 
several.  Some  of  these  standards  are  primarily  technical ; 
others  more  immediately  and  broadly  aesthetic  or  ethical. 

Among  the  technical  standards  of  frequent  application 
are  well-developed  dramatic  line,  rapidity  of  movement, 
intensity  of  interest,  simplicity  or  complexity.  The  simple 
plot  has  a  beauty  of  its  own,  but  seems  more  characteristic 
of  the  short  story  than  the  novel.  The  origin  and  history 
of  the  novel  as  a  species  is  associated  with  Gothic  art  rathei 
than  with  Greek.  Complexity  may  be  considered  advan 
tageous,  if  not  necessary,  for  the  most  complete  expres^ 
sion  of  design. 

Less  technical  standards  demand  :  that  the  movement  of 
the  plot  be  determined  by  the  individuality  of  the  characters ; 
be  representative  of  a  great  ethical  law,  or  otherwise  of  broad 
and  deep  human  significance ;  be  characterized  throughout 
by  repose,  or  pass  from  great  moral  passion  to  a  logical 
moral  calm  ;  be  optimistic  in  general  tendency ;  etc. 

A  final  judgment  of  a  great  plot  must  rest  on  a  familiar  acquaintance 
with  all  its  materials  and  form.  Probably  the  main  outline  should 
appear  at  a  first  reading,  and  be  capable  of  very  condensed  state- 
ment, but  the  complete  significance  of  details  should  be  practically 
inexhaustible. 


CHAPTER   IV 
THE   SETTINGS 

63.  Esthetic  Function  of  Settings.  —  Every  action  as  a 
whole,  and  the  incidents  which  compose  it,  must  occur  in 
some  definite  environment  of  time,  place,  and  circumstances; 
but  these  accessories  may  be  very  variously  developed  in 
a  narrative.     The  imagination,  in  general,  takes  relatively 
little  delight  in  the  mere  outline  of  an  action,  and  a  primary 
value   of   the   settings  is   to    increase   interest  —  to   give 
warmth,  concreteness,  and   individuality  to   events.     The 
settings  of  a  novel  are  often  of  special  service  in  aiding 
the  illusion,  as  well  as  in  deepening  the  unity,  beauty,  and 
human  significance  of  the  fictitious  action. 

It  may  not  always  be  possible  to  draw  a  sharp  line 
between  an  incident  and  its  accessories,  but  the  term 
"  settings"  implies  subordination  —  to  be  tested  not  by  mere 
number  of  words,  but  by  relative  artistic  significance. 
Development  of  settings  beyond  this  point  is  a  violation  of 
artistic  economy. 

In  practical  criticism,  a  close  study  of  the  environment  of  an  inci- 
dent aids  one  to  realize  and  remember  the  full  value  of  the  author's 
imaginative  conception.  If  Sidney  Lanier  had  ever  noted  carefully  the 
time  setting  of  the  climax  in  Silas  Marner,  he  could  not  have  written 
of 'a  ray  of  sunshine  striking  through  the  window  and  illuminating  the 
little  one's  head.1 1 

64.  General  Time  Setting.  —  In  pure  romance,  an  action 
may  be  placed  in  the  future,  or  in  an  indeterminate  past, 

1  The  English  Novel,  p.  28. 
78 


THE   SETTINGS  79 

represented  in  extreme  form  by  the  "once  upon  a  time"  of 
fairy  tales.  The  general  time  setting  of  a  realistic  novel  is 
always  in  a  true  sense  historical,  though  historical  time 
may  be  viewed  against  a  background  of  biological  time,  as  in 
many  naturalistic  novels  ;  or  of  eternity,  as  in  some  philo- 
sophical and  religious  novels.  The  historical  period  usually 
has  some  special  imaginative  value  for  the  reader,  before 
he  is  acquainted  with  the  individual  novel ;  as  in  Quatre- 
Vingt-Treize,  The  Talisman,  and  Romola. 

Certain  theories  of  the  novel  suggest  some  definite  con- 
ception of  the  duration  of  the  action,  especially  as  compared 
with  that  of  the  short  story  and  the  drama.  One  impor- 
tant theory  considers  the  novel  as  primarily  concerned 
with  a  single  individual  life,  in  its  complete  development. 
As  the  German  critic  Spielhagen  expresses  it,  the  short 
story  normally  requires  only  a  "  Lebensausschnitt "  ;  the 
novel,  'den  ganzen  Strom  des  Lebens.'  Again,  the  novel 
is  a  description  or  interpretation  of  a  unified  social  group, 
the  novel  of  manners  being  the  typical  form.  Both  these 
theories  indicate  an  action  covering  approximately  a 
generation,  and  many  representative  novels  show  their 
influence  clearly.  Probably  the  Renaissance  idea  that  one 
year  was  the  proper  time  for  an  epic  action  has  also  had 
some  influence  upon  the  "modern  epic."  Various  as  is 
the  duration  of  action  in  the  novel,  the  average  is  distinctly 
longer  than  in  the  drama  and  short  story.  Probably  there 
are  no  important  novels  limited  to  the  traditional  dramatic 
unity  of  twenty-four  hours  —  found,  for  example,  in  The 
Tempest  and  Master  and  Man. 

65.  Detailed  Time  Settings.  —  A  general  idea  of  the 
narrative  distribution  of  time  —  the  time  perspective  —  in 
an  individual  novel  may  be  gained  by  an  examination  of 
the  principal  terms  in  the  time  analysis.  Occasionally  the 


80  THE   STUDY  OF  A  NOVEL 

external  divisions  are  based  on  uniform  periods  of  time. 
If  comprehensiveness  is  a  characteristic  of  the  novel,  one 
may  expect  some  special  consideration  of  day  and  night,  of 
each  of  the  four  seasons,  etc.  The  single  day  is  the  most 
natural  and  the  most  frequent  setting  for  individual  scenes 
or  well-unified  events.  There  are  distinct  traditional  back- 
ground values  for  the  early  morning,  noon,  evening,  and 
night. 

The  action  of  Silas  Marner  covers  about  a  generation ;  but  chapter- 
groups  XI  to  XIII  and  XVI  to  XX  record  the  events  of  single  days. 
Jane  Austen  uses  the  single  day  with  more  regularity  in  Pride  and 
Prejudice ;  "  the  next  morning  "  being  a  frequent  formula. 

Romanticism,  for  obvious  reasons,  has  taken  special  de- 
light in  the  background  effects  of  evening  and  night.  The 
"  sentimental  school"  associated  the  evening  with  reflection, 
"  sensibility "  and  melancholy  of  a  gentle  type ;  Gothic 
romance  developed  the  mystery,  the  tragic  solemnity,  and 
the  supernatural  atmosphere  of  the  deeper  night.  Both  of 
these  romantic  settings  are  often  found  in  the  works  of 
Mrs.  Radcliffe  and  Scott.  In  Mrs.  Radcliffe's  Italian,  for 
example,  many  of  the  important  incidents  are  given  a  very 
artistic  evening  or  night  setting.  The  special  values  given 
to  these  and  other  portions  of  the  natural  day  may  some- 
times be  treated  conventionally,  but  a  little  thought  shows 
that  they  have  some  real  basis  in  social,  psychological,  and 
physiological  fact. 

Distinct  effects  may  be  gained  by  sudden   changes  — 
contraction  or  expansion  —  in  the  time  perspective.     Such 
effects  may  be  in  the  service  of  romantic  weirdness,  or  of 
realistic  humor  or  pathos. 

The  death  of  Paul  Dombey  is  in  pathetic  contrast  with  the  bright 
Sunday  afternoon  in  summer  on  which  it  occurs,  but  Dickens  increases 
the  solemnity  by  association  of  this  particular  tragedy  with  "  the  old. 


THE   SETTINGS  8 1 

old  fashion !  The  fashion  that  came  in  with  our  first  garments,  and  will 
last  unchanged  until  our  race  has  run  its  course,  and  the  wide  firmament 
is  rolled  up  like  a  scroll." 

66.  General  Place  Setting.  —  So  far  as  it  follows  the 
traditions  of  the  epic,  the  novel  is  characterized  by  a  broad 
spatial  background.  This  is  conspicuous  in  the  romance 
of  chivalry,  the  picaresque  novel,  and  in  the  more  modern 
types  of  "  international "  fiction.  The  influence  of  the  drama 
and  of  dramatic  criticism  has  probably  been  in  the  other 
direction,  but  the  novel  has  never  submitted  to  the  dramatic 
unity  of  place,  strictly  interpreted,  as  in  the  single  room 
settings  of  Hedda  Gabler  and  Magda.  While  in  the  novel 
devoted  to  an  intensive  study  of  the  individual  or  society 
spatial  range  is  less  significant  than  in  the  novel  of  action, 
the  weight  of  criticism  and  of  practise  indicates  the  short 
story  as  the  normal  type  for  purely  local  fiction. 

Romance  inclines  to  escape  the  limitations  of  locality, 
either  by  imaginative  transformation  of  real  place,  or  by 
selection  of  purely  ideal  place.  It  finds  a  congenial  back- 
ground in  Arcadia,  Utopia,  the  stars,  the  center  of  the 
earth,  and  nameless  islands  of  remote  seas.  The  new 
world  attracted  the  writers  of  the  Romantic  Movement,  as 
the  home  of  the  '  natural,  elemental  man,'  or  the  golden 
hope  of  the  social  dreamer.  Modern  realism  prefers  in 
general  the  great  centers  of  social  complexity  —  the  Lon- 
don of  Dickens,  the  Paris  of  Balzac,  the  Madrid  of  ValdeY 
La  Espuma,  etc.  Often,  however,  the  intricate  life  of  the 
capital  is  emphasized  by  contrast  with  the  simpler  manners 
and  ideas  of  the  provinces ;  and  in  this  respect  as  in  others 
the  law  of  imaginative  reaction  can  be  traced. 

Many  countries  and  regions  have  a  more  or  less  determinate  value 
for  the  imagination.  Italy  is  a  conspicuous  example.  The  Italy  of 


82  THE    STUDY   OF   A   NOVEL 

Roman  and  Catholic  tradition,  of  Renaissance  influence,  of  art,  of  land- 
scape, of  rich  political  experience,  and  of  cosmopolitan  life,  has  in  one 
way  or  another  made  a  special  appeal  to  both  romancer  and  realist. 
Compare  Corinne,  Andersen's  Improvisatore,  Romola,  The  Last  Days 
of  Pompeii,  Paul  Heyse's  stories,  Bourgefs  Cosmopolis,  Quo  Vadis,  etc. 

67.  Detailed  Place  Settings.  —  These  may  be  conve- 
niently classified  as  exteriors  (in  the  main,  natural)  and 
interiors  (in  the  main,  social).  The  typical  novel  com- 
bines the  two,  though  certain  varieties  incline  to  emphasize 
one  or  the  other.  Pastoral  romance  has  its  retired  valleys, 
with  conventional  accessories  ;  the  romance  of  chivalry  its 
princely  palace,  its  cell  of  hermit  or  monk ;  Gothic  romance 
its  castle,  with  haunted  chamber,  gloomy  dungeon,  and 
secret  passages.  Romanticism  in  general  has  explored  the 
ideal  values  of  forest,  sea,  and  mountain  solitude.  Pica- 
resque fiction  has  made  special  use  of  such  settings  as  the 
prison,  the  thieves'  den,  and  the  tavern.  The  novel  of 
manners  leads  the  reader  to  places  of  routine  domestic 
and  social  life,  such  as  homes,  offices,  theatres,  legislative 
halls,  court-rooms,  ball-rooms,  parks  and  streets. 

It  is  mainly  within  doors  that  modern  society  eats,  sleeps,  marries, 
visits,  worships,  and  dies.  Many  fictions  include  the  name  of  a  build- 
ing in  their  title,  though  this  is  never  the  most  general  setting  —  House 
of  the  Seven  Gables,  Uncle  Tom's  Cabin,  The  Old  Curiosity  Shop, 
Castle  Rackrent,  The  Small  House  at  Allington,  etc.  Such  realists  as 
Balzac  and  Dickens  are  prolific  in  detailed  description  of  city  quarters, 
streets,  houses,  and  individualized  rooms.  In  the  eighteenth  century 
novels  there  are  frequent  scenes  in  the  stagecoach ;  nineteenth  cen- 
tury realism  finds  the  railroad  train  quite  as  useful,  as  in  Dombey  and 
Son,  and  Anna  Kardnina. 

In  detailed  landscape  settings,  Mrs.  Radcliffe  had  a  wide  influence, 
through  Scott  and  his  school.  The  landscape  of  the  realists  is  gener- 
ally more  accurate,  if  not  more  artistic,  and  is  more  completely  human- 
ized by  association  with  individual  or  social  experience,  or  by  scientific 
and  philosophical  interpretation. 


THE    SETTINGS  83 

68.  Circumstantial  Settings.  —  The  most  general  circum- 
stances environing  the  action  of  a  novel  are  the  permanent 
conditions  of  society,  nature,  and  the  supernatural.  In 
novels  of  a  philosophical  quality,  the  broader  aspects  of 
these  conditions  are  often  of  great  value  as  background. 
Novelists  of  various  schools  show  a  tendency  towards 
mysticism,  and  touch  with  more  or  less  emphasis  such 
vast  conceptions  as  the  struggle  for  existence,  the  Ever- 
lasting No,  lacrymce  rerum>  das  ewig  Wcibliche,  the  things 
that  are  eternal  are  unseen,  etc.  Zola  and  his  school  often 
make  the  deepest  human  experiences  seem  trivial  against 
the  majestic  background  of  natural  processes.  They  ring 
the  changes,  not  always  orthodox  or  hopeful,  upon  the  old 
question:  "What  is  man,  that  Thou  art  mindful  of  him  ?  " 
Ethical  thinkers  like  George  Eliot  find  apparently  insig- 
nificant human  actions  intimately  related  to  sublime  moral 
laws.  Bunyan,  in  his  fiction  as  in  his  life,  almost  loses 
sight  of  the  concrete  material  facts  in  the  sense  of  the 
enveloping  spiritual  universe. 

In  all  novels,  but  notably  in  historical  fiction  and  in 
the  novel  of  manners  and  allied  types,  the  detailed  back- 
ground includes  the  temporary  conditions  of  a  social  group, 
with  various  emphasis  upon  political,  religious,  industrial, 
and  other  circumstances.  In  social  realists  like  Jane 
Austen  and  Trollope  the  elaborated  settings  rarely  extend 
beyond  such  data. 

If  one  chooses  to  give  so  subjective  a  meaning  to  the 
term  "  circumstantial  settings,"  it  may  include  something 
of  the  psychological  condition  of  the  characters.  A  mood 
of  memory  may  serve  as  background  for  the  present  expe- 
rience ;  the  emotions  of  secondary  characters  may  intensify 
those  of  the  principal  characters,  or  lessen  the  tension,  as 
in  Chapters  VI  and  XIII  of  Silas  Marner.  (See  Section  35.) 


84  THE   STUDY   OF   A   NOVEL 

This  last  effect,  gained  through  the  comic  or  semi-comic 
characters  of  a  tragic  incident,  is  common  in  the  novel  as 
well  as  the  drama. 

In  details  of  natural  setting,  'weather  has  a  prominent  function. 
Its  changing  moods  may  be  in  ironical  contrast  with  the  human  expe- 
riences they  accompany,  as  in  the  bright  sunlight  at  the  death  of  Paul 
Dombey ;  or  in  harmony  therewith,  as  in  the  wild  storm  that  surrounds 
the  death  of  Molly  Cass.  The  love  of  nature  developed  by  the  modern 
romantic  spirit  appears  in  the  frequent  moonlight  scenes  of  the  senti- 
mental school,  and  the  fierce  Byronic  tempests  of  the  Gothic  romance 
of  terror. 

Detailed  circumstantial  settings  may  include  all  inanimate  objects 
which  have  definite  artistic  relation  to  the  incident.  In  the  catastro- 
phe of  Silas  Marner,  the  furniture  given  to  Silas  by  Godfrey  and  the 
recovered  gold  upon  the  table  have  an  important  relation  to  the  pur- 
pose and  result  of  the  visit  itself.  Animals  are  often  significant  items 
of  background.  The  contrast  between  the  domesticated  and  the  wild 
animals  of  Robinson  Crusoe  is  interesting. 

69.  Reality,  Ideality,  and  Truth.  —  As  already  implied, 
the  most  general  settings  of  all  novels  are  necessarily  real. 
Realism,  in  theory  and  in  practise,  has  made  much  of  fidel- 
ity to  fact  in  details  also.  This  realistic  element  may  be 
largely  for  the  sake  of  the  subject-matter,  or  for  the  sake 
of  verisimilitude;  the  first  purpose  often  being  scientific 
rather  than  artistic  in  spirit. 

Idealization  takes  many  forms — selection,  recombination, 
typification,  symbolism,  etc.  Probably  no  novel  exists 
without  a  great  deal  of  idealization  in  the  specific  settings. 
Ideality  is  found  in  the  description  of  the  settings  them- 
selves, and  in  their  relation  to  the  action,  as  in  the  familiar 
pathetic  fallacy. 

^Esthetic  criticism,  partly  in  consequence  of  the  pressure 
of  realism,  has  endeavored  to  distinguish  carefully  between 
fact  and  truth.  Some  critics  find  the  highest  degree  of 


THE   SETTINGS  85 

truth  in  fidelity  to  the  typical.  Scott  objected  to  the  idea 
that  he  slavishly  copied  the  individual  buildings  and  land- 
scapes which  served  him  as  models ;  there  is  scarcely  any 
question  that  he  is  faithful  to  the  essential  qualities  of  their 
types.  Another  conception  of  artistic  truth,  even  less 
obedient  to  the  decree  of  the  realist,  is  that  of  consistency. 
Critics  have  pointed  out  the  remarkable  consistency  with 
which  Swift  uses  both  the  gigantic  and  the  pigmy  scale  in 
Gulliver,  though  the  application  belongs  to  the  impossi- 
bilities of  romance. 

The  novelist  is  unable  to  give  all  the  data  of  any  social,  historical,  or 
natural  environment  ;  but  those  he  does  give  may  correspond  with  the 
facts.  In  a  description  of  the  battle  of  Gettysburg,  it  may  not  be 
possible  to  follow  the  historical  weather  hour  by  hour,  but  it  is  possible 
to  make  the  details  given  consistent  with  a  Pennsylvania  July. 

Omission  of  essential  data  —  though  it  may  sometimes  be  difficult  to 
agree  on  what  is  essential  — will  destroy  the  truth  of  the  description,  if 
not  the  impression  of  reality.  If  it  was  Booth  Tarkington's  purpose  to 
give  a  general  view  of  the  life  of  a  Hoosier  village  in  The  Gentleman 
from  Indiana,  the  result  is  marred  by  the  omission  of  the  ecclesiastical 
life.  Representation  of  the  political  life  of  the  city  of  St.  Paul  would 
not  be  faithful  if  it  omitted  the  Scandinavian  element. 

70.  Vague  and  Exact  Settings.  —  There  are  few  novels 
with  a  perfectly  clear  and  continuous  time  perspective,  and 
there  is  frequently  dimness  in  the  spatial  perspective. 
Romance  gains  many  characteristic  effects  from  vagueness 
of  setting.  Realism  inclines  towards  exact  details  ;  for  the 
sake  of  illusion,  for  purposes  of  characterization,  or  as  a 
result  of  the  general  habit  of  close  observation  and  analy- 
sis. Too  much  detail  in  description  as  in  narration  (Sec- 
tion 31)  may  destroy  the  impression  of  reality. 

Phrases  such  as  '  one  day,'  '  a  few  weeks  afterwards,'  etc.,  are  common 
In  most  novels.  The  reader  knows  neither  the  day  of  the  week  nor  of 
the  month  on  which  Eppie  is  married,  in  Silas  Marner;  and  the 


86  THE   STUDY   OF   A  NOVEL 

dates  of  both  proposals  of  Darcy,  in  Pride  and  Prejudice,  though  these 
are  respectively  climactic  and  catastrophic  events,  are  left  without 
identification  in  the  calendar. 

The  architectural  settings  of  Balzac  and  the  landscapes  of  Scott  are  not 
infrequently  so  detailed  that  it  is  difficult  to  form  a  general  picture. 
Great  spatial  exactness  without  confusion  is  found  in  The  Gold-bug,  and 
is  characteristic  of  Poe's  general  method.  The  spot  where  the  treasure 
is  found  is  located  with  mathematical  precision,  by  the  aid  of  compass, 
quadrant,  exact  dimensions,  three  circles,  and  two  triangles. 

In  the  time  analysis  of  Master  and  Man,  such  details  as  u  moments," 
"  an  instant,"  "  several  seconds,"  are  characteristic  of  the  psychological 
intensity  of  the  author,  and  of  the  experiences  he  is  relating. 

71.  Natural,  Social,  and  Socialized  Settings.  —  In  paint- 
ing, there  are  scenes  in  which  both  foreground  and  back- 
ground are  entirely  lacking  in  human  figures.  All  the 
natural  backgrounds  of  the  novel  are  necessarily  socialized 
to  some  extent,  by  association  with  human  characters  and 
actions.  The  tendency  of  the  novel  is  to  extend  the  human 
significance  of  environment  far  beyond  this  point  of  mere 
necessity.  Landscape  is  interpreted  in  relation  to  social 
labor,  art,  history,  or  individual  experience.  Objects  large, 
or  small  are  often  partially  personified,  as  are  the  cathedral 
of  Notre  Dame  de  Paris,  the  wooden  midshipman  and  the 
railroad  train  in  Dombey  and  Son.  Animals  and  super- 
natural beings  are  given  a  more  immediate  human  interest 
than  is  characteristic  of  painting  and  sculpture.  The  same 
tendency  appears  in  the  treatment  of  supernatural  places 
and  objects.  The  inferno  of  Quevedo's  Suefios  is  even 
more  human  than  that  of  the  Divine  Comedy ;  the  Holy 
Grail  of  Morte  d'Arthur  is  the  goal  of  a  human,  not  an 
angelic  search. 

Psychological  use  of  the  time-sense  has  just  been  noted.  Its  social 
significance  in  the  novel  is  indicated  by  the  frequent  reference  to  the 
tcclesiastical  and  secular  calendars.  It  is  not  an  accident,  from  the 


THE    SETTINGS  87 

artistic  standpoint,  that  Paul  Dombey  dies  on  Sunday,  Kielland's  poor 
waif  Elsie  on  Christmas  Eve ;  or  that  Eppie  comes  to  Silas  on  New 
Year's  Eve.  In  Pride  and  Prejudice  the  sense  of  time  is  distinctly 
social  rather  than  individual.  The  endeavor  of  Robinson  Crusoe  to 
keep  the  world's  calendar  during  his  exile  is  one  of  the  many  effects  of 
a  strong  social  sense  in  Defoe  and  his  period. 

72.  Author  and  Dramatis  Personae.  — In  the  third-person 
novel  the  more  elaborate  settings  are  commonly  given  by 
the  author.  The  generalized  views  of  social  environment 
in  Silas  Marner  belong  entirely  to  George  Eliot  —  no  char- 
acter in  the  novel  could  originate  them.  In  the  novel  of 
dramatic  form  such  descriptions  are  either  eliminated ;  or 
become  artificial,  unless  justified  by  the  situation  of  the 
characters. 

Robinson  Crusoe's  itemized  account  of  his  island  environment  is 
perhaps  justified  by  the  nature  and  situation  of  the  man.  Jane  Austen 
shows  her  keen  dramatic  sense  by  omitting  description  of  the  surround- 
ings in  which  Darcy  becomes  engaged  to  Elizabeth  —  "  There  was  too 
much  to  be  thought,  and  felt,  and  said,  for  attention  to  other  objects." 

The  pathetic  fallacy  may  have  a  dramatic  value  and  truth.  It  is 
probable  that  a  Carker  (Dombey  and  Son)  fleeing  from  human  ven- 
geance may  feel  that  nature  also  is  his  enemy ;  that  a  youthful  lover, 
like  the  hero  of  Pepita  Jime'nez,  may  feel  that  Nature  in  her  springtide 
mood  sympathizes  with  his  own  erotic  passion.  But  when  Thomas 
Hardy  gives  his  personal  impression  that  nature  is  ironically  hostile  to 
man's  moral  ideals,  he  lyricizes.  One  learns  something  about  Thomas 
Hardy,  but,  very  possibly,  not  much  of  nature  or  even  of  the  charac- 
ters of  the  novel. 

Except  in  pure  romance,  the  allegorical,  symbolical,  and  supernatural 
interpretation  of  environment  is  usually  more  or  less  dramatized,  as  in 
Mrs.  Radcliffe,  Scott,  Hawthorne,  and  Turgenieff.  Often  such  interpre- 
tation is  a  sign  of  partially  morbid  condition  in  the  character.  The 
river  and  boat  of  Paul  Dombey's  imagination,  and  Silas  Marner's  asso- 
ciation of  Eppie's  hair  with  his  lost  gold  are  fragmentary  examples. 
The  allegorical  element  in  Robinson  Crusoe,  whether  an  afterthought 
or  not,  is  explained  only  in  the  Third  Part. 


88  THE   STUDY   OF   A  NOVEL 

73.  Distribution.  —  In  completely  developed  scenes,  the 
settings  usually  appear  in  distinct  masses,  in  part;  but 
their  full  value  is  generally  realized  only  by  bringing  to- 
gether the  points  scattered  through  many  chapters. 

Many  important  points  in  the  setting  of  Paul  Dombey's  death  (Chap- 
ter XVI)  are  given  before  and  after  the  event  itself.  From  Chapter  XV 
one  learns  that  it  occurred  on  a  bright  Sunday;  from  Chapter  XIV 
that  it  was  after  the  iyth  of  June :  one  must  get  the  general  picture  of 
the  neighborhood,  the  house,  and  the  room,  from  several  chapters. 

The  settings  at  the  principal  turning-points  of  the  plot 
are  naturally  of  special  interest.  At  the  beginning,  in 
particular,  time  and  place  are  often  given  separate  para- 
graphs. This  method  of  opening  a  novel  may  indicate  the 
general  realistic  emphasis  on  milieu,  as  in  Balzac. 

Several  points  regarding  the  initial,  climactic,  and  catastrophic  set- 
tings of  Silas  Marner  and  Pride  and  Prejudice  have  already  been  given. 
A  few  others  may  be  added,  to  show  the  contrast  between  the  two 
works. 

SILAS  MARNER.  Initial.  —  The  first  two  chapters  are  devoted  largely 
to  settings ;  the  development  being  from  the  more  general  to  the  more 
specific.  The  particular  place  setting  which  is  to  be  used  in  climax 
and  catastrophe  —  the  weaver's  cottage  —  is  introduced  very  early. 
Lantern  Yard  and  the  Red  House  are  also  to  appear  in  later  scenes. 
The  emphasis  on  general  social  circumstances  is  greater  than  in  Pride 
and  Prejudice,  and  is  characteristic  of  the  wider  social  philosophy  of 
George  Eliot.  The  very  slight  mention  of  the  state  of  war  is  probably 
dramatic  —  the  international  struggle  being  less  significant  to  the  people 
of  Raveloe  than  their  own  local  affairs. 

Climactic.  —  This  New  Year's  Eve  is  highly  individualized  in  the 
minds  of  Silas,  Godfrey,  and  Molly,  even  apart  from  the  specific  inci- 
dent of  the  climax.  The  treatment  of  landscape  and  the  weather  is 
almost  symbolical.  The  interior  of  the  cottage  is  not  only  described 
in  considerable  detail,  but  it  has  permanent  meaning  in  the  lives  of 
Silas,  Eppie,  Godfrey,  Dunstan,  Mrs.  Winthrop,  Aaron,  Macey  —  it  is 
a  unifying  setting. 


THE   SETTINGS  89 

Catastrophic.  — The  Sunday  evening  is  well  individualized.  In  tem- 
poral, spatial,  and  circumstantial  settings  there  are  definite  reminiscences 
of  the  climax. 

PRIDE  AND  PREJUDICE.  Initial.  —  The  action  begins  at  once,  with 
a  fairly  rapid  movement.  The  omission  of  detailed  settings  is  charac- 
teristic of  the  entire  novel.  The  reader  does  not  know  directly  the 
year  or  season  or  part  of  England  in  which  the  story  opens. 

Climactic.  —  The  time  is  a  late  hour  of  an  April  evening.  The  state 
of  the  weather  is  only  implied.  The  day  has  no  significance  apart 
from  the  specific  incident.  The  place  setting  is  the  parlor  at  Hunsford, 
which  has  no  particular  meaning  for  the  reader  or  the  characters. 

Catastrophic.  —  Darcy^s  successful  proposal  occurs  on  a  September 
morning,  in  the  neighborhood  of  the  Bennet  home.  That  is  about  all 
one  knows  of  time  and  place.  The  circumstantial  setting  must  be 
gathered  largely  from  preceding  and  following  chapters. 

74.  Further  Economy.  —  In  general,  settings  with  special 
artistic  quality  are  either  in  definite  contrast  or  agreement 
with  their  incidents.  Sharp  contrast  is  a  favorite  method 
with  both  the  romancer  and  the  humorist. 

Hawthorne  uses  the  cheerful  morning  as  a  background  for  tragic 
death,  with  striking  effect,  in  The  House  of  the  Seven  Gables  and  in 
Ethan  Brand.  Humorous  contrast  between  the  real  setting  and  its 
interpretation  by  a  character  is  well  exemplified  in  Don  Quixote,  Sir 
Launcelot  Greaves,  and  in  the  Roman  camp  of  the  Antiquary^  imagi- 
nation. 

Effects  are  often  gained  by  a  conscious  inversion  of  con- 
ventional settings. 

"  The  morning  of  Friday  was  as  serene  and  beautiful  as  if  no  pleas- 
ure party  had  been  intended,  and  that  is  a  rare  event,  whether  in  novel- 
writing  or  real  life."  (The  Antiquary,  Chapter  XVII.) 

The  action  and  reaction  between  settings  and  characters 
is  a  complex  matter,  and  has  already  been  noticed  more 
than  once.     The  character  may  not  only  interpret  his  envi-^ 
ronment ;  he  may  to  no  small  extent  make  it,  as  notably  in 
Robinson   Crusoe.     Pessimistic  realism,   however,  prefers 


\ 


90  THE   STUDY   OF   A  NOVEL 

to  portray  human  nature  as  the  'slave  of  circumstances.' 
In  novels  of  any  school,  the  same  details  often  serve  as 
setting  and  as  motivation.  The  storm  in  the  Antiquary, 
Chapter  VII,  is  not  only  a  fine  background  for  the  tragic 
incident,  but  is  the  direct  cause  of  it. 

Repetition  of  specific  place  settings,  with  contrasted  or 
similar  incidents,  is  often  used  with  more  definite  single 
effects  than  in  the  examples  given  above  from  Silas 
Marner. 

The  effect  is  one  of  tragic  pathos  in  the  "let  him  remember  it  in 
that  room,  years  to  come  ! "  of  Dombey  and  Son.  (Chapters  XVIII 
and  LIX.)  Trollope,  in  Barchester  Towers,  and  Hardy,  in  A  Pair  of 
Blue  Eyes,  describe,  with  ironical  effect,  a  heroine  wooed  by  two  lovers, 
at  different  times,  but  in  exactly  the  same  spot. 


CHAPTER  V 
THE  DRAMATIS   PERSONS 

75.  Composition.  —  A  list  of  the  dramatis  personae,  for  a 
drama,  epic,  or  novel,  will  vary  according  to  the  interpreta- 
tion of  the  term  and  the  degree  of  analysis  desired.  If  in 
the  drama,  appearance  on  the  stage  is  the  basis  of  inclu- 
sion, some  persons  of  considerable  importance  in  the  plot 
will  generally  be  omitted.  Claribel  and  Sycorax,  for  exam- 
ple, are  both  of  definite  value  in  the  plot-development  of 
The  Tempest.  In  the  novel,  the  frequent  use  of  secondary 
narrative,  as  distinct  from  presented  action,  introduces 
many  characters  who  would  not  appear  on  the  stage  in  a 
dramatization. 

In  addition  to  truly  individualized  characters,  a  novel  al- 
ways includes  many  persons  with  little  more  than  numeri- 
cal identity  —  whether  speaking,  present  without  speech, 
or  given  a  mere  reference.  In  the  remote  background 
are  persons  merely  implied,  though  some  of  them  may 
have  been  clearly  conceived  by  the  novelist.  In  an  inten- 
sive imaginative  study,  one  could  scarcely  fail  to  raise  some 
question  concerning  the  mother  of  Wickham,  in  Pride  and 
Prejudice;  or  the  father  of  the  hero  and  the  parents  of 
Molly  Cass,  in  Silas  Marner. 

The  author  himself  is  a  dramatis  persona  if  he  has  an 
organic^part  in  the  action  as  a  whole,  either  in  propria  per- 
sona, or  in  a  fictitious  disguise  which  preserves  his  reaJ 
identity. 

91 


Q2  THE   STUDY   OF  A   NOVEL 

In  fictions  of  the  type  of  Smollett's  Adventures  of  an  Atom,  a  per- 
sonified object  is  technically  the  central  figure  of  the  action.  In  Notre 
Dame  de  Paris,  the  cathedral  itself  has  been  called,  imaginatively,  the 
real  hero.  In  many  medieval  and  some  modern  stories,  an  animal  plays 
a  similar  r61e.  Supernatural  beings  and  personified  abstractions  be- 
come true  dramatis  persona?,  in  romance,  whenever  they  have  a  genuine 
function  as  individuals  in  the  unity  of  the  illusion.  "  Anxiety,"  in  Silas 
Marner,  serves  merely  in  a  figure  of  speech ;  but  "  Despair  "  is  one  of 
the  real  characters  in  Pilgrim's  Progress. 

76.  Number.  —  The  absolute  number  of  dramatis  per- 
sonae  is  of  great  importance  in  determining  the  social  area 
of  the  novel,  and  the  degree  of  complexity  in  its  action. 
The  number  relative  to  length  of  composition  affects  par- 
ticularly the  rapidity  of  action,  the  degree  of  individualiza- 
tion,  and  the  reader's  sense  of  sustained  intimacy  with  the 
characters.  In  a  way,  there  is  decided  contrast  between 
the  sociological  ideal  of  the  novel,  demanding  an  extensive 
"  exhibition  "  of  varied  types,  and  the  psychological  ideal, 
intent  on  profound  study  of  the  individual. 

The  epic  breadth  resulting  from  a  large  dramatis  personae  with  little 
individualization  is  exemplified  in  The  Plague  Year  and  I  Promessi 
Sposi.  The  former  fiction  contains  about  165  persons  with  numerical 
identity,  of  whom  only  16  are  given  individual  names.  In  the  latter 
work  the  corresponding  numbers  are  150  and  33. 


EXAMPLES.     (Individualized  ch; 

Speaking 

The  Gold-bug       ....-* 

iracters.) 

Present 
2 

6 

I 
4 

10 

25 

Reference     Total 

3            8 

3          '5 

6          18 

12              28 
40              78 

30          81 
30         ^3 

The  Ambitious  Guest    . 
Master  and  Man  .... 
Paul  and  Virginia          .        .        . 
Silas  Marner         .... 
Pride  and  Prejudice 
Ivanhoe        

.      6 
.     II 

.      12 

.      28 
.      26 
.      52 

For  the  Waverley  Novels,1  some  1700  characters  are  enumerated. 
1  Library  edition;   Edinburgh,  1853. 


THE   DRAMATIS    PERSONS 


93 


The  above  data,  with  some  others,  give  roughly  a  proportion  of  30 
to  40  individuals  present  in  the  action,  whether  speaking  or  not,  to 
100,000  words. 

77.  Chapter  Distribution.  —  A  table  showing  the  distri- 
bution of  the  principal  characters  according  to  chapters,  if 
made  early  in  the  examination  of  the  novel,  is  often  helpful 
as  a  basis  for  further  study  of  individuals  and  groups.  Such 
a  scheme  gives  a  condensed  list  of  dramatis  personae ;  the 
structural  iiistory  of  individuals,  in  outline ;  indicates  the 
consecutive  grouping,  and  serves  to  recall  the  general 
significance  of  each  chapter. 

In  the  following  example  only  the  most  important  characters  are 
noted.  "  S  "  indicates  speech  ;  "  P,"  presence  ;  "  R,"  reference. 

SILAS  MARKER 


CHAPTER 

i 

2 

3 

4 

5 

6 

7 

8 

9 

10 

II 

12 

13 

14 

15 

16 

*7 

18 

iQ 

20 

21 

Con. 

Silas      . 

S 

P 

R 

P 

S 

S 

P 

S 

S 

S 

R 

R 

S 

R 

S 

P 

Godfrey 

S 

R 

R 

S 

S 

S 

S 

R 

S 

P 

P 

S 

S 

S 

S 

R 

Eppie    . 

S 

S 

S 

R 

S 

R 

R 

S 

R 

S 

S 

Dun  stan 

S 

S 

R 

R 

R 

R 

R 

R 

R 

Nancy  . 

R 

R 

R 

S 

S 

R 

P 

S 

S 

S 

S 

P 

Macey  . 

(S) 

S 

S 

S 

S 

S 

R 

R 

R 

S 

Mrs.  Winthrop 

S 

S 

S 

S 

S 

S 

Wm.  Dane     . 

S 

R 

78.  Grouping  in  General.  —  The  method  of  grouping  and 
the  emphasis  on  the  different  groups  will  depend  on  the 
individual  novel  and  the  particular  purpose  with  which  it 
is  studied.  Certain  groups,  of  special  importance  in  techni- 
cal analysis,  are  determined  by  the  structure  itself ;  others 
are  defined  or  suggested  by  the  author's  comment;  still 
others  may  be  perceived  or  fashioned  by  the  critic. 

A  group  may  be  a  real  ensemble,  composed  of  persons 
assembled  in  some  definite,  limited  space  and  time,  as  in 


94  THE   STUDY   OF  A  NOVEL 

Chapter  VI  of  Silas  Marner.  While  these  conditions  do 
not  necessarily  imply  group-consciousness,  they  are  likely 
to  arouse  and  intensify  it.  Such  a  group  may  be  treated 
as  a  spatial  picture,  with  a  descriptive  interest  in  its  phys- 
ical form ;  or  as  a  moral  unity,  with  the  emphasis  on  social 
psychology.  There  is  sometimes  an  imaginative,  even 
symbolical  tendency  to  consider  the  entire  group  as  one 
person,  as  in  the  treatment  of  city  mobs  or  armies  by  such 
modern  novelists  as  Hugo,  Balzac,  and  Zola. 

Other  groups,  such  as  all  the  whites  or  all  the  Indians 
in  The  Last  of  the  Mohicans,  are  based  on  common 
qualities  rather  than  common  time  and  place ;  and  in 
many  cases  a  clear  sense  of  group-unity  may  exist  only  in 
the  mind  of  author  or  reader. 

A  group  may  be  composed  of  a  definite  number  of 
persons  (symbolized  by  G-4,  G-5,  etc.)  or  of  an  indefinite 
number  (G-«).  Indefinite  groups  of  a  large  number  of 
persons  —  masses  —  are  characteristic  of  epic  quality,  and 
are  almost  necessary  to  give  a  large  social  background  in 
historical  fiction. 

In  The  Plague  Year  there  are  masses  of  servants,  surgeons,  aldermen, 
nurses,  refugees,  etc.  In  1  Promessi  Sposi  there  are  more  objective, 
ensemble  groups  of  soldiers,  worshippers,  the  plague-stricken,  etc.  In 
very  many  of  the  Waverley  Novels,  indeterminate  groups,  —  such  as 
archers,  knights,  Highlanders,  gypsies,  crusaders,  —  more  significant  as 
masses  than  as  composed  of  individuals,  increase  the  epic  breadth  and 
dignity  of  the  social  picture. 

79.  Successive  Groups.  —  The  scheme  suggested  in  Sec- 
tion 77  will  furnish  starting-points  for  a  more  careful 
study  of  the  groups  in  individual  episodes,  scenes,  events, 
and  incidents.  On  this  basis,  characters  may  be  described 
as  episodic  (semi-episodic)  and  persistent;  the  episodic 
being  more  accurately  noted  as  initial,  central  (climactic), 


THE   DRAMATIS   PERSONS  95 

final  (catastrophic),  etc.  Even  in  the  loosest  types  of  plot 
there  are  nearly  always  one  or  more  persistent  characters. 
Aside  from  such  unifying  persons,  in  the  episodic  plot,  in 
autobiographical  fictions,  and  adventure  and  picaresque 
forms  in  general,  the  group  at  any  stage  of  the  action  may 
be  almost  independent  of  the  others.  In  all  types  of  novel, 
well-marked  episodic  groups  are  common.  Such  groups 
are  especially  clear  in  intercalated  narrative;  a  frequent 
structural  form  in  most  early  romance,  in  Cervantes,  Le 
Sage,  Fielding,  Smollett  and  their  disciples.  The  narrator 
of  these  intercalations  himself  is  sometimes  an  episodic 
character;  in  closer  economy,  persistent. 

In  Robinson  Crusoe,  even  Friday  is  only  an  episodic  (central)  char- 
acter. There  are  quite  independent  groups  in  Brazil,  Madagascar, 
Asia,  as  well  as  on  the  island.  In  Silas  Marner,  the  most  important 
independent  groups  are  found  in  the  initial  Lantern  Yard  episode,  and 
in  Chapters  VI-VII.  None  of  the  characters  in  these  two  groups  have 
an  important  appearance  elsewhere,  except  Macey,  a  semi-persistent 
character,  and  the  hero  himself.  Eppie  is  a  central-final  character.  In 
Pride  and  Prejudice,  Colonel  Fitzwilliam  is  one  of  the  few  distinctly 
episodic  persons  of  any  importance.  He  partly  determines  the  general 
complexion  of  the  group  at  Hunsford. 

The  initial,  climactic,  and  catastrophic  groups  are  obvi- 
ously of  great  value  in  the  study  of  the  plot,  and  they  are 
frequently  very  clearly  defined.  They  are  rarely  of  exact 
identity,  even  in  economic  plots.  In  general  tendency, 
climactic  groups  are  psychological,  concentrating  the  atten- 
tion on  a  relatively  small  number  of  individuals  and  their 
inner  life ;  catastrophic  groups  are  often  broader,  gather- 
ing together  all  the  principal  characters  of  the  plot,  and 
leaving  a  general  impression  of  social  atmosphere.  These 
tendencies  are  fairly  well  exemplified  in  Silas  Marner  and 
Pride  and  Prejudice.  There  are  many  exceptions;  some 
notable  tragic  effects  being  gained  by  leaving  the  reader 


96  THE   STUDY   OF   A   NOVEL 

in  the  presence  of  isolated  individuality  at  the  close  of  the 
plot. 

A  somewhat  artificial  catastrophic  ensemble  of  an  old-fashioned  type 
is  found  in  the  Sir  Roger  de  Coverley  papers.  The  introduction  of  new 
characters  near  the  conclusion  may  often  have  a  specific  aesthetic  effect. 
In  the  Shakespearian  tragedy,  this  method  gives  a  sense  of  relief,  and 
suggests  the  continuous  vigor  of  social  life  in  the  face  of  many  indi- 
vidual calamities.  In  the  last  twenty-five  pages  of  The  Plague  Year, 
Defoe  introduces  nine  new  individuals,  but  they  are  not  important  as 
individuals  —  the  populace  of  the  city  of  London  is  the  real  catastrophic 
hero. 

80.  Foreground,  Middleground,  and  Background  Charac- 
ters.—  The  terms  "foreground,"  "middleground,"  and 
"  background,"  borrowed  from  the  spatial  art  of  painting, 
apply  to  plot-literature  only  by  way  of  a  somewhat  loose  an- 
alogy. A  foreground  character  is  one  that  has  relatively  a 
great  intensity,  complexity,  or  variety  of  meaning,  and  as  a 
result  seems  most  immediately  before  the  reader.  There  is 
perhaps  no  single  technical  test  to  determine  the  position 
of  a  character  in  the  general  perspective  of  values.  All 
foreground  characters  are  usually  given  considerable 
speech,  in  the  novel;  but  in  Pride  and  Prejudice,  Miss 
Darcy,  without  recorded  utterance,  is  far  more  important 
than  "  a  young  Lucas,"  or  Mrs.  Hill,  who  are  incidentally 
quoted.  In  a  sense,  the  catastrophe  is  the  foreground  of 
a  novel,  so  far  as  a  single  reading  is  concerned.  The  con- 
clusion is  the  emphatic  position,  the  one  with  the  most 
warmth,  immediacy,  as  the  reader  leaves  the  composition. 
According  to  the  theory  of  Poe,  the  author's  conception  of 
a  plot  should  originate  with  the  catastrophe,  which  should 
then  determine  the  whole  perspective. 

In  a  painting,  the  human  figures  may  be  concentrated 
in  any  one  of  the  three  positions,  the  other  two  being  occu- 


THE   DRAMATIS    PERSONS  97 

pied  by  works  of  nature  or  of  art.  In  certain  types  of  so- 
called  short  stories,  nature,  or  an  abstract  idea,  or  a  lyrical 
mood,  rather  than  a  character,  may  in  effect  dominate  the 
foreground.  In  the  romance  of  action,  it  may  be  events 
rather  than  persons  that  come  nearest  to  the  reader.  In 
the  representative  novel,  the  foreground  is  given  to  highly 
individualized  characters,  the  background  to  groups  or  to 
individuals  whose  significance  lies  in  their  group  relations. 
In  the  distinctively  social  novel,  including  some  historical 
fictions,  novels  of  manners,  and  novels  of  social  psychology, 
the  artist  may  devote  even  the  foreground  to  the  portrayal 
of  groups.  In  The  Plague  Year,  though  written  in  a  per- 
sistent first-person  form,  probably  to  most  readers  the 
mass  of  London  inhabitants  is  more  immediate,  complex, 
and  intense  than  the  fictitious  writer. 

In  all  plot-literature,  the  richness  and  stability  of  the 
illusion  depend  to  a  considerable  extent  on  a  gradual  shad- 
ing in  the  value  of  the  characters  —  on  a  complex  variety 
in  the  degrees  of  intimacy  established  between  them  and 
the  reader.  In  our  actual  experience,  of  the  extended 
scope  which  the  novel  imitates,  there  are  persons  of  every 
grade  of  actuality,  from  the  friend  more  real  than  self  to 
the  mere  nominis  umbra. 

In  Silas  Marner,  the  hero  himself  is  clearly  the  chief  foreground 
character ;  Godfrey  and  Eppie  being  others,  though  the  last  is  not  even 
suggested  until  the  climactic  chapter.  Mrs.  Winthrop  and  Nancy  are 
among  the  middleground  figures,  while  in  the  remote  background 
are  the  boys  and  girls  of  Raveloe,  the  factory  hands  of  Lantern  Yard, 
Jinny  Gates,  the  pedler,  and  many  other  individuals. 

81.  Central  Characters.  —  A  character  or  characters  may 
be  central  mainly  as  a  matter  of  plot-function,  their  service 
being  to  unify  all  the  incidents  of  the  action  ;  or  central  in 
a  deeper  psychological  or  sociological  manner,  their  value 


98  THE   STUDY   OF   A  NOVEL 

determining  that  of  all  other  individuals  and  groups.  Of 
course  the  two  functions  may  be  combined ;  and  in  either, 
the  degrees  of  centrality  are  various. 

Clear  examples  of  a  single  central  character  are  often  found  in  auto- 
biographical fictions ;  as  in  Robinson  Crusoe,  The  Vicar  of  Wakefield, 
and  David  Copperfield.  In  Paul  and  Virginia,  the  first-person  form 
serves  mainly  as  an  enveloping  frame ;  in  The  Plague  Year  the  first- 
person  narrator  aids  in  unifying  the  rather  diffuse  incidents  of  the 
action,  and  gives  greater  force  to  the  individuality  of  the  other 
characters.  The  title  often  suggests  a  single  central  character  with 
sufficient  accuracy,  as  in  The  Man  of  Feeling,  Tom  Jones,  Euge'nie 
Grandet;  but  in  other  cases,  the  "hero"  in  a  traditional  sense  does 
not  appear  in  the  title  r61e.  In  The  Antiquary,  while  Oldenbuck  is  near 
the  focus  of  interest,  Lovell  corresponds  more  nearly  to  the  conventional 
hero.  A  central  character  may  be  so  conceived  and  presented  that  his 
significance  lies  rather  in  typical  than  in  individual  qualities.  Lermon- 
toff  writes  of  his  Contemporary  Hero,  '  My  hero  is  the  portrait  of  a 
generation,  not  of  an  individual.'  This  statement  is  almost  equally 
true  of  some  of  the  chief  characters  of  Turgenieff. 

Two  central  characters  may  be  given  approximately  the 
same  degree  of  value  by  the  method  of  contrast,  as  in 
Master  and  Man  or  Sense  and  Sensibility.  In  the  love- 
story  of  novelistic  or  dramatic  form,  the  hero  and  hero- 
ine are  sometimes  of  equal  value ;  sometimes  one  or 
the  other  definitely  predominates.  In  Jane  Austen  the 
heroine  is  always  more  central  than  the  hero  ;  and  this 
is  clearly  the  case  in  As  You  Like  It  and  Romeo  and 
Juliet. 

In  not  a  few  notable  fictions,  as  suggested  in  the  pre- 
ceding section,  a  group  rather  than  individuals  as  such,  is  in 
all  but  a  technical  sense,  the  real  center  of  value.  All  in 
all,  the  lovers  of  I  Promessi  Sposi  are  less  significant  in  the 
mind  of  author  and  reader  than  the  masses  of  ecclesiastical, 
martial,  and  municipal  figures.  Bulwer  Lytton's  son  says 


THE   DRAMATIS   PERSON/E  99 

with  much  truth,  the  real  hero  of  The  Parisians  is  "the 
Parisian  Society  of  Imperial  and  Democratic  France." 

82.  Association  of  Characters.  —  Except  in  autobiographi- 
cal fiction,  the  dramatis  personae  are  rarely  all  acquainted 
with  the  chief  central  character ;  still  more  rarely  are  they 
all  mutually  acquainted.  In  any  case,  the  various  degrees 
of  intimacy  are  distinct  enough  to  serve  as  bases  for  impor- 
tant groupings.  Even  prominent  characters  may  be  igno- 
rant of  their  mutual  existence.  Silas  Marner  must  always 
remember  William  Dane  and  Dunstan  Cass  as  the  two 
individuals  who  have  most  grievously  injured  him,  but 
these  two  men  pass  through  life,  each  absolutely  unknown 
to  the  other. 

In  Pride  and  Prejudice  there  is  in  general  a  fine  interweaving  of  char- 
acters, but  there  are  several  interesting  exceptions.  Miss  Darcy,  for  ex- 
ample, meets  none  of  the  Bennets  except  Elizabeth  ;  nor  in  the  course  of 
the  directly  presented  action  does  she  meet  Wickham,  though  their 
relations  offer  material  for  a  very  dramatic  interview.  In  this  respect  the 
drama  is  characteristically  more  compact  than  the  loose  epic-like  struc- 
ture of  the  novel.  Hamlet  is  on  the  stage,  alive,  with  all  of  the  indi- 
vidually named  characters  except  Reynaldo,  Francisco,  and  Fortinbras. 
Rosalind,  however,  so  far  as  recorded,  never  hears  of  the  old  servant 
who  is  so  faithful  to  her  lover. 

The  grouping  of  the  dramatis  personae  as  to  mutual 
acquaintance  may  be  tabulated  in  various  ways.  In  the 
following  arrangement  for  the  chief  characters  of  Silas 
Marner,  each  person  of  any  group  is  at  least  once  pre- 
sented with  each  other  person  of  that  group. 

I                   II  III                 IV                V 

Silas                Silas  Silas 

Godfrey  Godfrey          Godfrey 

Eppie  Eppie                                Eppie 

William  Dane    The  Squire  Mrs.  Winthrop     Dunstan     Molly  (living) 

Nancy  Aaron 
Macey 


100  THE   STUDY   OF   A   NOVEL 

One  of  the  most  objective,  dramatic,  and  distinctly  struo, 
tural  groupings  of  the  novel  is  the  dialogic.  Except  in  duos 
and  trios  exact  repetition  of  any  group  is  uncommon.  As 
in  real  life,  the  omission  or  addition  of  a  single  character, 
even  in  groups  of  some  size,  may  essentially  change  the 
form  and  substance  of  the  conversation. 

Duos  and  trios  predominate  in  The  Last  of  the  Mohicans.  The 
following  are  four  of  the  most  important  conversational  groups. 
Heyward  is  present  in  all;  the  Indian  element  colors  three  of  them. 
Chingachgook,  Hawkeye,  Heyward,  Alice  Munro  (Chapter  XIII) ; 
Chingachgook,  Hawkeye,  Heyward,  Munro,  Uncas  (Chapter  XVIII)  ; 
David  Gamut,  Hawkeye,  Heyward,  Munro  (Chapter  XXII)  ;  Heyward, 
Magua,  Cora  Munro,  Tamemund,  Uncas  (Chapter  XXX).  In  Ivanhoe 
the  dialogic  groups  are  in  general  larger  and  at  the  same  time  more 
compact  in  their  structure  than  in  Cooper.  Good  examples  are  found 
in  Chapter  XXVII  —  Ambrose,  Athelstane,  Bois-Guilbert,  De  Bracy, 
Front-de-Bceuf,  Giles,  Wamba  ;  and  Chapter  XXXIII  — Friar  Tuck, 
Isaac,  The  Prior,  Robin  Hood,  his  "  lieutenant,"  "  one  of  the  outlaws,1' 
the  band  (in  concerted  speech) . 

Groups  of  great  importance  in  the  study  of  characteriza- 
tion and  of  subject-matter  are  based  on  personal  influence. 
Many  characters  are  decidedly  either  active  or  passive  in 
the  general  perspective  of  the  plot.  According  to  Goethe's 
theory,  the  hero  of  a  drama  is  primarily  active,  the  hero  of 
a  novel  primarily  passive.  In  fiction  as  in  life,  great  depth 
and  great  breadth  of  influence  are  rarely  combined.  The 
more  profound  character  forces  of  any  individual  are  limited 
to  a  comparatively  small  circle  of  dramatis  personae,  or 
become  more  shallow  as  they  reach  the  outer  circles.  A 
character  may  exist,  in  fiction,  mainly  to  influence  other 
characters,  directly  or  indirectly,  as  in  the  conventional  plot- 
functions  of  the  deus  ex  mac/iina  and  dramatic  providence. 

William  Dane  has  no  life  of  his  own,  apart  from  his  relation  to  Silas 
Marner,  as  the  novelist  presents  him.  A  father  or  mother  may  exist, 


THE   DRAMATIS   PEl^GN/E  IOI 


artistically,  for  the  sake  of  influencing  'a/eni'd,  (Sec  Riemann's  treat- 
ment of  the  motif  'of  "  Der  Tod  des  Vaters  "  ;  and  compare  the  opening 
of  Soil  und  Haben.) 

In  Pride  and  Prejudice,  Elizabeth  and  Darcy  are  far  more  influen- 
tial than  the  other  pair  of  lovers.  In  Silas  Marner,  so  far  as  mutual 
influence  is  concerned,  Macey,  the  Squire,  Dunstan,  and  others  are  quite 
outside  the  compact  circle  composed  of  Silas,  Godfrey,  Nancy,  Eppie, 
and  Mrs.  Winthrop.  On  the  whole,  Silas  himself  exemplifies  quite 
clearly  the  theory  of  Goethe  given  above,  Uj.iK*t  Kiro 


83.  Relation  to  the  Author.  —  Modern  realistic  theory 
has  frequently  insisted  that  the  novelist  should  be  abso- 
lutely impartial,  objective,  in  reference  to  his  characters  ; 
but  this  is  a  doctrine  very  rarely  represented  in  practise. 
A  mind  sufficiently  interested  in  individuals  to  write  a  novel 
does  not  sincerely  value  all  individuals  alike  ;  and  the  pre- 
tence to  impartiality  often  produces  the  impression  of  a 
general  hostility  rather  than  artistic  objectivity.  Brune- 
tiere  l  distinguishes  the  realism  of  French  fiction,  as  repre- 
sented by  Flaubert,  with  its  scorn  for  the  humble  lives  it 
portrays,  from  English  realism,  as  represented  by  George 
Eliot,  with  its  profoundly  sympathetic  attitude  toward  the 
same  type  of  character.  Even  Jane  Austen  reveals  clearly 
her  personal  preferences  for  certain  characters  of  her  crea- 
tion, and  personal  dislike  for  others. 

Smollett  and  other  eighteenth  century  writers  found  in 
the  novel  an  opportunity  to  display  personal  spite  or  per- 
sonal approval  of  real  contemporaries,  slightly  disguised 
in  the  fiction.  Newman  personally  sympathizes  with  the 
early  Christian  converts,  in  Callista.  Literary,  national, 
or  racial  prejudice  often  leaves  a  clear  stamp  on  charac- 
terization, even  in  novels  of  a  general  realistic  quality.  The 
novelist  may  indicate  that  he  opposes  certain  literary  or 

1  Roman  Naturaliste,  1893,  P-  23°« 


102  "f'HE  -STtJDY   OF  A  NOVEL 

social  conventions  by :  presenting  characters  in  a  spirit  of 
burlesque  or  caricature. 

Examples  of  types  so  treated  are  some  of  the  pastoral  figures  of 
Sidney's  Arcadia,  the  knight  of  chivalry  in  Don  Quixote,  the  prude  in 
Joseph  Andrews,  the  Euphuist  in  The  Monastery.  In  Soil  und  Haben, 
the  author  shows  German  prejudice  against  the  Pole  and  the  Jew ;  in 
Westward  Ho!,  Kingsley  reveals  English  Protestant  dislike  for  the 
Spanish  Jesuit. 

The  partial  identification  of  the  author  with  a  character 
has  been  noticed  in  Section  58.  Sometimes  it  is  the  prin- 
cipal character,  as  in  The  Vicar  of  Wakefield,  David  Cop- 
perfield,  Pride  and  Prejudice ;  sometimes  a  less  central 
personality,  as  in  Anna  Karenina.  A  single  character  may 
embody  not  merely  the  general  Weltanschauung  of  the 
author,  but  his  more  specific  temporary  problems  or  epi- 
sodes of  experience  ;  as  in  Oroonoko,  Werther,  The  Pirate, 
Corinne,  Newman's  Loss  and  Gain,  War  and  Peace. 

A  certain  character  may  intermediate,  as  expositor  or  as  one  of 
kindred  temperament  or  experience,  between  the  author  and  the  reader. 
In  fictions  of  specially  difficult  illusion,  particularly  in  the  realm  of  the 
supernatural,  a  character  is  often  found  whose  chief  function  is  to 
"  rationalize  "  the  improbable.  The  management  of  such  functions  is 
one  of  the  excellencies  in  Defoe's  technic.  Examples  are  also  found 
in  Peter  Wilkins,  Gulliver's  Travels,  Frankenstein,  and  Utopia. 
In  much  the  same  way,  the  intensity  of  tragedy  may  be  mediated 
through  a  comparatively  commonplace  and  unemotional  character. 

Frequently,  all  the  principal  characters  may  be  clearly 
grouped  with  reference  to  the  main  purpose  or  theme  of 
the  novel. 

84.  Reality  and  Ideality.  — As  all  artistic  characterization 
is  an  imaginative  process,  all  the  characters  of  a  novel  are 
more  or  less  ideal ;  but  the  degrees  of  ideality  may  often 
be  distinct  enough  to  serve  as  a  basis  for  important  group- 


THE   DRAMATIS  PERSONA  IO3 

ings.  "Real"  characters,  for  the  present  purpose,  are  those 
that  represent,  essentially,  specific  individuals  or  groups 
from  actual  life,  historical  or  contemporaneous.  In  the 
case  of  contemporary  models  the  reader  may  not  be  able 
to  discover  the  real  situation  from  the  internal  evidence  of 
the  novel.  In  giving  his  own  method,  Scott  states  a  gen- 
eral practise  in  modeling  from  real  life :  "  I  have  always 
studied  to  generalize  the  portraits,  so  that  they  should  still 
seem,  on  the  whole,  the  productions  of  fancy,  though  pos- 
sessing some  resemblance  to  real  individuals." 1  Many 
novelists  have  vigorously  affirmed  that  characters  supposed 
by  captious  readers  to  be  "  copied "  from  existing  indi- 
viduals, were  either  purely  imaginary,  or  composites  studied 
from  several  models. 

In  historical  fiction,  in  the  narrow  sense,  the  grouping 
of  the  dramatis  personae  into  historical,  semi-historical, 
(typically  historical),  and  non-historical  individuals  is  always 
possible  and  usually  illuminative.  The  nature  of  historical 
romance,  in  one  way,  and  the  nature  of  historical  real- 
ism, in  another,  determine  that  the  majority  of  historical 
individuals  elaborately  presented  should  be  persons  of 
prominent  external  activity  —  soldiers,  statesmen,  and 
reformers,  rather  than  men  of  a  predominant  inner  life. 
Purely  imaginary  individuals  may  be  historical  in  type,  or 
may  be  given  an  historical  quality  in  the  illusion  by  inti- 
mate association  with  well-known  real  characters.  Raphael 
Hythloday,  in  Utopia,  is  a  follower  of  Amerigo  Vespucci : 
among  the  dramatis  personse  of  Westward  Ho !  are  a  com- 
panion of  Pizarro  and  a  grandson  of  De  Soto. 

Indeterminate  groups,  except  in  general  outline,  must  always  be 
largely  idealized,  for  history  preserves  no  record  of  their  individual 
members,  or  of  their  actions  in  minute  detail. 

1  Introduction  of  1*27  to  Chronicles  of  the  Canfngate. 


104  THE   STUDY   OF   A  NOVEL 

Different  types  of  historical  fiction,  with  corresponding 
theories,  depend  on  the  distribution  of  historical,  semi-his- 
torical, and  non-historical  characters  as  to  foreground, 
middleground,  and  background.  Compare,  for  example, 
the  theories  and  practise  of  Scott,  Vigny,  Manzoni,  Dumas, 
and  Tolstoi. 

In  Ivanhoe,  the  chief  foreground  figures  are  at  most  only  typically 
historical;  King  John  and  King  Richard,  with  the  semi-legendary 
Robin  Hood,  may  perhaps  be  considered  as  middleground  characters. 
In  Kenilworth,  Leicester  and  Queen  Elizabeth;  in  The  Talisman, 
King  Richard,  approach  the  advanced  foreground  position.  In  Cinq- 
Mars,  both  the  Cardinal  and  the  young  hero  are  among  the  most  prom- 
inent persons.  Among  the  historical  characters  of  I  Promessi  Sposi 
are  Cardinal  Borromeo,  Charles  II,  Richelieu,  Philip  II,  and  Wallenstein, 
but  none  of  these  are  foreground  figures,  from  a  structural  point  of  view. 
This  romance,  like  many  other  historical  fictions,  presents  a  large  num- 
ber of  indeterminate,  semi-historical  groups  in  the  middleground  or 
background.  In  Quo  Vadis,  though  Nero,  Petronius,  Saint  Peter,  and 
other  historical  individuals  are  prominent,  the  hero  and  heroine  are  both 
imaginary. 

85.  Individuals  and  Types.  —  Every  character,  in  fic- 
tion as  elsewhere,  may  be  primarily  considered  as  an  in- 
dividual, as  representative  of  larger  or  smaller  groups  of 
human  beings,  or  as  an  embodiment  of  an  abstract  idea.  In 
some  novels  an  initial  grouping  of  dramatis  personae  on  this 
basis  may  be  of  advantage.  A  deeper  study  of  the  matter 
belongs  more  properly  under  characterization. 

Any  character  dominated  by  a  single  quality,  habit,  or  passion  tends 
to  become  typical.  Typification  in  the  direction  of  caricature  is  fpund 
in  many  novels  of  a  general  realistic  stamp.  Even  so  sturdy  a  realist  as 
Trollope  introduces  characters  typically  named  —  for  example,  Mr. 
Popular  Sentiment  and  Dr.  Persistent  Anti-Cant  —  following  the  fashion 
especially  prominent  in  the  Jonsonian  comedy  of  humors,  and  the 
eighteenth  century  English  comedy  of  manners.  Such  characters, 
whether  named  in  this  manner  or  not,  are  notably  frequent  in  Dickens, 
and  in  the  grea"t  humorists' and  saftiristS  generally.* 


THE   DRAMATIS  PERSON/E  10$ 

Allegorical  and  symbolical  characters  are  appropriate  in 
certain  species  of  romance.  They  sometimes  appear  even 
in  the  heart  of  a  realistic  novel,  but  tend  to  weaken  or 
destroy  the  unity  of  realistic  illusion.  The  presence  of 
Mignon,  the  religious  teachers,  and  other  allegorical  figures 
in  Wilhelm  Meister  makes  it  difficult  for  the  average  reader 
to  accept  the  reality  of  the  plot  as  a  whole.  The  same 
confusion  may  result  from  a  combination  of  realistic  char- 
acters with  caricatures,  as  in  Sidney's  Arcadia.  In  The 
Midsummer  Night's  Dream  there  is  such  intricate  inter- 
weaving of  realism,  caricature,  and  symbolism,  that  the 
whole  effect  can  be  unified  only  in  the  realm  of  the  fantastic. 

86.  Social  Groups.  —  Important  in  most  novels,  social 
grouping  of  the  dramatis  personse  has  a  specialized  value 
in  many  types  of  fiction  —  the  picaresque  romance,  the 
pastoral  romance,  the  novel  of  manners,  and  the  novel  of 
social  psychology,  for  example.  The  analysis  is  closely 
connected  with  the  study  of  "human  life,"  under  subject- 
matter,  but  it  also  has  its  relations  to  aesthetic  form.  In 
many  novels,  the  guiding  principle  in  social  grouping  is 
artistic  contrast ;  in  others  there  is  more  delicate  shading 
from  group  to  group.  Sharp  contrast  is  characteristic  of 
romanticism ;  an  intricate  interweaving,  ceteris  paribus,  is 
more  realistic.  The  canon  of  "  epic  totality "  demands 
that  every  generic  group  of  human  society  be  represented. 

For  an  elaborate  technical  classification,  one  must  go 
to  the  scientific  sociologist;  but  a  simple  conception  of 
the  classes  of  society  is  a  matter  of  general  culture,  and  a 
necessity  for  any  thorough  study  of  plot-literature.  Groups 
may  be  based  upon  sex,  family  relation,  social  rank,  occu- 
pation, religion,  etc.  The  novel  which  fully  embodies  the 
epic  tradition  includes  characters  of  several  races  or  nation- 
alities, with  some  conscious  study  of  the  qualities  of  these 


106  THE   STUDY   OF   A   NOVEL 

massive  groups.  Balzac  as,  in  some  sense,  a  scientific 
student  of  social  psychology,  arranges  the  Comedie  Hu- 
maine  in  such  manner  as  to  indicate  clearly  a  rational 
analysis  of  society.  His  modern,  secular  classification 
offers  an  interesting  contrast  to  the  groupings  of  Dante's 
dramatis  personae,  made  largely  on  the  basis  of  medieval 
theology. 

The  groups  according  to  sex,  like  several  others,  might 
be  considered  as  either  sociological  or  psychological. 
In  certain  types  of  fiction,  the  number  of  individualized 
men  naturally  far  exceeds  that  of  women.  This  is  true  of 
historical  romance,  and  of  novels  of  action,  especially  of  a 
martial  quality.  In  novels  in  which  love  is  a  primary 
matter,  and  in  the  novel  of  manners,  the  relation  may  be 
inverted,  or  a  numerical  equality  approached.  Certain 
theories  of  the  novel,  those  which  emphasize  its  function 
in  portraying  modern  social  complexity,  and  in  studying 
the  inner  life  of  the  emotions,  for  instance,  have  a  specific 
bearing  on  the  matter.  Again,  the  historical  relations  of 
men  and  women  as  novelists  and  as  novel-readers,  might 
be  discussed  in  this  connection. 

In  Ivanhoe  there  are  47  speaking  men ;  5  speaking  women.  (The 
concerted  speeches  also  are  mainly  masculine.)  In  Silas  Marner, 
the  corresponding  numbers  are  20  and  8.  Pride  and  Prejudice,  with 
its  ii  speaking  men  and  15  speaking  women,  illustrates  the  feminine 
quality  of  Miss  Austen's  experience,  her  realistic  fidelity  to  that  experi- 
ence, and  the  tendency  of  the  typical  novel  of  manners. 

In  many  novels  the  family  relations  of  the  dramatis  personae  are 
intricate  enough  to  demand  special  examination.  This  may  be  true 
of  the  family  saga,  or  of  historical  romances,  as  it  is  of  Shakespeare's 
English  historical  plays.  Even  in  Silas  Marner,  Pride  and  Prejudice, 
Anna  Kardnina,  and  other  modern  fictions  of  local  societies,  the  reader 
is  not  likely  to  have  a  complete  and  clear  conception  of  these  relations 
without  careful  attention.  In  extensive  studies  of  Family  traits,  as  in 
the  Rougon  Macquart  series,  the  matter  is  of  deeper  importance. 


THE    DRAMATIS    PERSONS  IO? 

A  good  example  of  aesthetic  social  grouping  is  found  in  pastoral 
fiction.  This  generally  contains  well-marked  groups  of  permanent, 
genuine  pastoral  characters,  contrasted  with  groups  of  courtly  aristo- 
crats, pastoral  to  some  degree,  for  the  nonce.  Inhere  may  also  be  non- 
pastoral  groups ;  or  a  number  of  pastoral  figures  in  burlesque,  as  in 
Sidney's  Arcadia  and  As  You  Like  It. 

87.  Psychological  Groups. —  The  critic  may  easily  dis- 
cover in  any  novel  fairly  definite  groups  of  dramatis 
personae  based  on  salient  common  mental  and  moral 
qualities.  A  conscious  elaboration  of  this  analysis  on  the 
part  of  the  author  belongs  mainly  to  modern  fiction,  and 
particularly  to  the  "psychological  novel"  of  the  realistic  and 
naturalistic  schools.  Such  groups  may  be  considered  in 
their  social  aspects,  or  as  psychological,  in  a  more  exact 
sense.  In  some  naturalistic  works,  in  which  the  psychology 
rests  on  physiology,  the  real  interest  is  biological  rather 
than  social,  in  the  ordinary  meaning  of  the  word. 

Characters  may  be  grouped  according  to  age,  tempera- 
ment, normal  or  abnormal  condition,  types  of  mentality, 
etc.  Senior  gave  some  very  interesting  and  illuminative 
discussion  of  this  matter.  His  classification  into  'simple, 
mixed,  and  inconsistent '  characters,1  is  worthy  of  careful 
study.  Another  method  of  analysis  might  distinguish 
sensational,  emotional,  intellectual,  moral,  and  religious 
natures.  Further  technical  classification  may  be  adapted 
from  sociological  or  psychological  treatises. 

Professor  Giddings  (Inductive  Sociology)  gives  as  "  types  of  dis- 
position," "  aggressive,  instigative,  domineering,  creative  "  ;  as  "  types 
of  character,"  "  forceful,  convivial,  austere,  rationally  conscientious  "  ; 
"types  of  mind,"  "ideo-motor,  ideo-emotional,  dogmatic-emotional, 
critical-intellectual."  While  this  nomenclature  has  been  ridiculed  by 
the  layman,  it  is  not  without  practical  suggestive  value  in  the  close 
analysis  of  the  psychological  novel. 

1  Essays  on  Fiction,  p.  358  ff. 


IOS  THE   STUDY   OF  A   NOVEL 

A  most  important  distinction,  in  respect  to  novelistic  form 
as  well  as  subject-matter,  is  that  between  static  and  develop- 
ingcharacters.  One  very  significant  theory  makes  the  novel 
preeminently  a  study  of  the  development  of  individual 
character.  This  idea  might  serve  as  a  basis  for  a  valuable 
grouping  of  all  the  dramatis  personae.  In  most  novels 
there  are  many  persons  who  undergo  no  essential  change 
of  nature  in  the  course  of  the  action. 

Characters  of  very  pronounced  mental  or  moral  abnormality  are 
usually  treated  as  individuals  rather  than  in  groups;  but  the  latter 
method  is  not  unknown  in  novels  of  social  psychology.  Superstition, 
fanaticism,  the  delirium  of  panic,  mob-spirit,  the  fever  of  battle,  the 
selfishness  or  death-like  lassitude  of  populations  stricken  by  pestilence 
or  famine, —  these  are  among  the  most  intense  forms  of  social  conscious- 
ness the  novelist  is  called  upon  to  portray.  In  the  domain  of  individual 
psychology,  Scott  made  an  original  study  of  "  double-consciousness " 
(his  own  term)  in  Norna,  of  The  Pirate ;  giving  medical  authority  for 
his  conception,  long  before  Zola  applied  the  doctrines  of  Claude  Bernard 
to  the  novel.1 

1  See  The  Experimental  Novel 


CHAPTER  VI 
CHARACTERIZATION 

88.  Character  and  Characterization.  —  In  a  careful  an- 
alysis, one  may  distinguish  the  character  itself,  the  reader's 
conception  of  it,  the  author's  conception,  and  his  presen- 
tation. In  a  broad  sense,  the  last  three  items  belong  to 
characterization ;  but  in  strictly  technical  meaning,  the 
term  applies  only  to  the  presentation. 

Unless  they  represent  actual  persons,  the  characters  of 
a  novel  exist,  as  individuals,  only  in  the  minds  of  author 
and  reader;  though  in  a  figurative  sense  we  call  a  char- 
acter "  real "  when  it  produces  a  distinct  illusion  of  reality. 
Human  beings  are  fashioned  by  nature,  society,  their  own 
wills,  and,  according  to  orthodox  thought,  the  supernatural : 
the  characters  of  fiction  are  fashioned  by  the  artistic  imagi- 
nation. Association  with  some  fictitious  beings  may  cause 
a  more  vital  experience  than  association  with  some  real 
persons ;  but  a  sane  mind  will  not  confuse  the  two  forms 
of  experience.  Such  common  statements  as  that  of 
Ruskin,  "To  my  father  ...  the  characters  of  Shake- 
spearian comedy  were  all  familiar  personal  friends," 1  have 
great  interest,  but  we  recognize  their  figurative  quality  at 
once.  The  question  whether  fictitious  individuals  really 
exist  as  types  may  be  suggestive  for  aesthetics,  but  seems 
to  belong  more  properly  to  metaphysics. 

Even  if  the  novelist  reproduces  the  appearance,  speech, 

1  Praeterita :  Macugnaga. 
109 


1 10  THE   STUDY  OF  A   NOVEL 

or  action  of  historical  individuals  in  accurate  detail,  the 
total  effect  is  imaginary,  because  of  the  large  fictitious 
element  in  the  environment.  Some  novelists  have  affirmed 
that  a  character  once  intensely  conceived  by  the  imagina- 
tion, seems  to  assume  a  volitional  life  of  its  own.  This 
fact  is  important  in  the  study  of  the  aesthetic  and  psycho- 
logical aspects  of  the  creative  process,  but  it  does  not  alter 
the  scientific  truth  that  the  novelist  is  really  the  sole  creator 
of  his  character.  The  novelist  cannot  evade  the  responsi- 
bility implied  in  Lanier's  question :  — 

"  What  the  artist  doeth, 
The  Lord  knoweth ; 
Knoweth  the  artist  not  ?  " l 

89.  Novelistic  Characterization.  —  Characterization  is  a 
process  common  to  ordinary  experience,  several  arts,  biog- 
raphy, history,  the  lyric,  and  all  forms  of  plot-literature. 
It  has  a  fairly  distinct  mode  for  the  novel,  in  a  peculiar 
combination  of  points,  if  not  in  any  one  point. 

No  other  literary  type  shows,  as  a  matter  of  history,  a 
presentation  of  character  in  such  " Detaildarstcllung"*  of 
environment,  physical  and  social.  Yet,  in  contrast  with 
the  stage  drama,  the  novel  can  at  will  describe  the  inner 
elements  of  character  without  any  accompanying  physical 
imagery. 

In  no  other  form  of  art  are  the  relations  of  direct  and 
indirect  characterization  so  intricate. 

The  combination  of  intensive  and  extensive  study  of 
individual  character  is  most  striking  in  the  novel.  Psycho- 
logical analysis,  in  a  strict  sense,  is  more  elaborate  than  in 
any  other  type  of  art.  In  the  lyric,  it  may  possibly  be  as 
intense  and  direct,  but  it  cannot  be  as  prolonged.  The 

1  Individuality.  2  Baumgart :  Handbuch  der  Poetik. 


CHARACTERIZATION  1 1 1 

gradual    development   of    character,    according   to    many; 
critics,  is  the  special  function  of  the  novel. 

These  characteristics  are  partially  explained  by  the  great  length  of  the 
novel,  its  facile  interweaving  of  dramatic  and  non-dramatic  form,  and  its 
use  of  prose.  Other  characteristics  may  be  readily  noted. 

In  sculpture  and  painting  there  is  the  medium  of  a  visible  image  of 
character ;  in  the  stage  drama,  the  medium  of  a  visible  and  audible  real 
person.  In  all  forms  of  literature  these  sensuous  values  can  only  be 
suggested. 

90.  Character  Unfolding. — The  scheme  given  in  Section 
77  will  indicate  the  first,  intermediate,  and  final  appear- 
ances of  important  characters,  and  the  general  environ- 
ment of  each  appearance.  The  main  method  of  unfolding 
may  be  in  mass  or  in  solution ;  usually  there  is  a  distinct 
combination  of  both  methods.  Tendency  to  mass  the  chief 
characterization  at  the  principal  turning-points  of  the  plot 
may  be  designated  as  initial,  climactic,  and  catastrophic 
unfolding.  The  prevailing  method  of  modern  realism  is 
probably  cumulative  —  a  discovery  of  character  by  the 
gradually  increasing  momentum  of  items  often  trivial 
enough  if  taken  separately. 

The  first  and  last  appearances  have  a  certain  inevitable 
emphasis.  Some  conventional  methods  of  introducing 
characters  are  apparently  modeled  after  the  drama  and 
epic.  Initial  soliloquy  in  the  drama  combines  the  physi- 
ognomy, pantomime,  and  speech.  This  formula  is  impos- 
sible in  the  novel,  and  the  substitution  of  an  initial  physical 
description  followed  by  speech  often  seems  artificial  and 
ineffective.  A  preliminary  introduction  may  be  given  in 
the  title,  preface,  or  prologue.  Abrupt  introduction  often 
produces  the  effect  of  romantic,  even  sensational,  surprise, 
as  to  some  degree  in  George  Eliot's  first  mention  of  Eppie. 


112  THE   STUDY   OF   A   NOVEL 

Riemann l  has  made  a  very  interesting  analysis  of  Goethe's 
methods  of  introducing  characters. 

A  study  of  the  last  appearance  —  the  "dismissal" — may 
naturally  be  connected  with  the  general  study  of  catas- 
trophe (Section  52).  Some  characters  slip  out  of  the  nar- 
rative so  quietly  one  is  scarcely  aware  of  their  absence. 
In  general,  in  the  modern  novel,  important  characters  are 
given  a  definite  dismissal,  though  it  may  not  be  quite  so 
formal  as  in  early  fiction.  The  hero  and  heroine  are  fre- 
quently last  mentioned  as  still  alive,  and  perhaps  their 
future  is  sketched.  The  novelist  often  seems  as  reluctant 
to  leave  his  favorite  characters  as  the  political  orator  is  to 
close  his  argument. 

91.  Appellation.  —  The  names  and  other  designations  of 
a  character  may  be  realistic  or  romantic ;  individualizing, 
or  typical  of  nationality,  historical  period,  occupation,  tem- 
perament, etc.  Occasionally — usually  with  romantic  con- 
notation— an  important  character  is  designated  as  "the 
unknown"  or  "the  unnamed."  Minor  characters  are 
often  indicated  only  by  type,  after  the  models  of  the 
herald  of  Greek  drama,  or  the  clown,  servant,  citizen  of 
Shakespearian  drama.  The  title  of  a  novel  frequently 
gives  a  suggestive  appellation  for  the  chief  character, 
as  in  the  Man  of  Feeling,  Last  of  the  Barons,  the  Wan- 
dering Jew.  In  early  types  of  romance  there  may  be 
repeated  epithetical  formulas,  similar  to  those  in  epic 
poetry. 

Different  aspects  of  the  same  character  may  be  indicated  by  different 
designation.  In  Jack  Wilton,  the  hero  is  variously  known  as  "my 
young  lad,"  "  wise  young  Wilton,"  "  King  of  the  Drunkards,"  "  King 
of  the  Pages,"  etc.  A  radical  change  of  name,  especially  in  romance, 
may  denote  pronounced  change  in  the  external  or  inner  history  of  a 

1  Goethes  Romantechnik  :  Die  Einfiihrung  der  Personen. 


CHARACTERIZATION  1 1 3 

character.  The  career  of  Amadis  of  Gaul  is  so  marked  in  part :  in 
Euphues,  the  conversion  of  a  character  is  emphasized  by  changing  his 
name  from  Atheos  to  Theophilus. 

When  these  different  names  are  distributed  between  the  author  and 
the  dramatis  personae,  they  may  have  considerable  importance  in  dra- 
matic characterization.  To  George  Eliot,  her  hero  is  generally  "  Silas  " 
or  "poor  Silas,"  even  when  he  is  imagined  as  much  older  than  herself; 
among  the  dramatis  personre,  he  is  "dad,"  "old  Marner,"  "the  miser," 
etc.  The  heroine  of  Pride  and  Prejudice  is  almost  invariably  "  Eliza- 
beth "  to  her  creator  ;  but  to  the  other  characters  she  is  known  as  Eli/a, 
Lizzie,  Miss  Bennet,  Miss  Elizabeth  Bennet,  and  so  on. 

92.  Physiognomy.  —  The  physical  appearance  may  have 
a  pictorial  interest  for  its  own  sake,  or  it  may  be  of  great 
service  in  revealing  the  mental  and  moral  nature.  It  is 
almost  entirely  through  bodily  phenomena  that  we  become 
acquainted  with  character  in  real  life,  and  the  novelist 
often  makes  detailed  and  effective  application  of  this  truth. 

The  physiognomy  of  an  individual  combines  a  nearly 
constant  element,  including  stature,  moulding  of  the  fea- 
tures, color  of  eyes  and  hair,  etc.,  with  an  element  always 
changing  according  to  physical  and  mental  condition. 
Both  elements  are  frequently  given  close  attention  in  the 
novel ;  the  latter  is  of  particular  value  in  all  genuine  study 
of  the  dynamic  relations  of  soul  and  body. 

It  is  comparatively  easy  to  image  and  remember  striking 
individual  details  of  physiognomy,  or  general  types  of 
figure  and  face ;  the  middle  ground  is  much  less  impres- 
sive. It  is  difficult  for  the  average  mind  to  retain  a  dis- 
tinct image,  even  of  an  intimate  friend,  for  any  considerable 
period,  without  the  aid  of  actual  presence  or  photographic 
suggestion. 

Again,  the  effect  of  a  given  bodily  appearance  depends 
much  on  the  state  of  the  observer  himself.  Strong  moral 
idealism  may  dwell  so  intently  on  beauty  of  character  that 


114  THE   STUDY  OF  A  NOVEL 

the  physical  defects  which  happen  to  accompany  it  disap- 
pear from  consciousness.  In  Pippa  Passes,  the  shoulders 
of  Ottima  are  at  one  time  fascinatingly  beautiful  to  Sebald  ; 
at  another,  terribly  repulsive.  In  this  sense,  the  Spense- 
rian conception  that  "  soul  is  form  and  doth  the  body 
make  "  may  be  a  truth  of  real  experience.  The  spatial  point 
of  view  also  greatly  modifies  the  impression  of  physical 
appearance.  The  first  close  observation  of  a  face  long 
familiar  at  a  greater  distance,  is  a  revelation.  Complexion, 
in  particular,  has  a  marvelous  increase  or  decrease  of  value 
as  the  point  of  view  changes. 

In  the  novel,  these  and  similar  "kinetic"  aspects  of  physiognomy 
affect  the  author,  the  reader,  and  the  dramatis  personae.  They  may 
suggest  the  great  difficulty,  and  hint  at  some  of  the  better  methods  in 
artistic  description  of  physical  personality.  In  general,  it  seems  better 
to  leave  much  to  the  imagination  and  habit  of  observation  in  the  reader. 
A  fully  itemized  description  is,  in  fact,  usually  one  of  the  least  success- 
ful methods  of  reaching  realistic  result.  Defoe  (in  Colonel  Jacque)  thus 
defends  a  brief  conventional  summary :  "  It  is  a  subject  too  surfeiting 
to  entertain  people  with  the  beauty  of  a  person  they  will  never  see." 

The  novel  rarely  portrays  the  unclothed  human  body.  This  may 
be  a  serious  limitation,  so  far  as  pictorial  interest  is  concerned,  but  the 
loss  to  higher  characterization  seems  trifling.  The  conventional  nude 
portraits  of  the  Elizabethan  sonneteers  and  Herrick  add  little  to  our 
sense  of  mental  and  moral  individuality.  (Cf.  Laokoon,  V.) 

93.  Costume  and  Physical  Environment. — When  one 
sees  a  friend  for  the  first  time  in  academic  or  ecclesiastical 
garb  or  in  military  uniform,  the  effect  on  one's  general 
conception  of  the  character  is  often  surprisingly  strong. 
Costume  has  its  special  values  in  the  novel  of  manners,  the 
romance  of  chivalry,  historical  romance,  and  other  types  of 
fiction.  Disdainful  criticism  of  Scott's  attention  to  costume 
has  perhaps  underrated  the  significance  of  dress  in  historical 
and  social  characterization.  But  Scott  is  by  no  means  the 


CHARACTERIZATION  1 1 5 

first  to  note  its  value.     For  familiar  reasons,  description  of 
costume  is  very  common  in  Elizabethan  literature. 

In  Jack  Wilton  there  are  several  passages  of  striking  and  concrete 
description,  in  various  connotation,  like  the  following :  "  I  had  my  feather 
in  my  cap  as  big  as  a  flag  in  the  foretop;  my  French  doublet  .  .  . 
my  long  stock  ...  my  rapier  pendant  .  .  .  my  cape  cloak  of  black 
cloth,"  etc.  Defoe  perhaps  paid  little  attention  to  dress  in  general,  but 
the  island  costume  of  Robinson  Crusoe  is  given  in  significant  detail. 

Change  of  costume  sometimes  indicates  important  change  of  situation 
or  character,  though  Thoreau's  suggestion  that  new  garments  should 
always  mean  moral  renovation  is  not  strictly  observed.  A  familiar 
detail  is  the  donning  of  masculine  garments  by  a  woman  —  romantic  in 
Lodge's  Rosalind;  realistic  in  Defoe's  Moll  Flanders  and  Mrs.  Chris- 
tian Davies. 

The  photographer  and  portrait  painter  recognize  the 
value  of  physical  background  in  characterization.  Such 
background  has  an  increased  value  when  selected  or  fash- 
ioned by  the  character  himself.  This  and  other  vital  rela- 
tions of  the  dramatis  personae  and  the  material  environment 
are  noticed  in  Sections  72  and  74. 

Certain  traditional  relations  are  found  in  some  special  types  of  fiction. 
Pastoral  figures  appear  against  a  background  of  typical  landscape ;  the 
heroine  of  the  novel  of  manners  is  painted  as  the  queen  of  the  ballroom 
or  the  promenade  ;  the  conventional  European  appears  in  a  new  light  sur- 
rounded by  pygmies,  giants,  or  other  semi-human  figures,  in  the  voyage 
tmagmaire ;  the  knight  of  the  romance  of  chivalry  is  the  shining  center 
of  the  tournament. 

Of  special  importance  in  dramatic  characterization  is  the 
relation  of  the  single  figure  to  the  group.  The  imaging  of 
Silas  Marner  among  the  village  boors  at  the  Rainbow, 
and  among  the  village  aristocrats  at  the  Red  House,  adds 
greatly  to  the  impression  of  his  character.  The  fact  that 
he  never  appears  in  any  considerable  group  except  in 


Il6  THE   STUDY   OF  A   NOVEL 

physical  as  well  as  mental  contrast  to  his  fellows,  until  the 
end  of  the  story,  symbolizes  his  moral  isolation  and  is  due 
to  the  author's  instinctive  genius  or  conscious  art. 

94.  Pantomime.  —  Human  beings  express  their  individu- 
ality as  well  as  typical  qualities  by  weeping,  laughter, 
swoon,  blush,  gesture,  and  pose.  It  is  a  matter  of  common 
note  that  these  means  of  expression  often  have  a  more  ele- 
mental and  universal  value  than  speech  itself.  In  many 
situations  absence  of  customary  pantomime  is  also  a  reve- 
lation of  character.  In  artificial  society,  gesture  as  well  as 
speech  may  be  used  to  conceal  the  real  attitude  of  the 
spirit. 

Criticism1  points  out  that  Sterne  was  one  of  the  first 
novelists  to  give  extensive  and  specialized  treatment  of 
pantomime;  but  it  had  its  definite  if  subordinate  place 
before  the  great  schools  of  the  eighteenth  century. 

Nash  gives  us  such  concrete  touches  as  these,  in  Jack  Wilton :  "  One 
pecked  like  a  crane  with  his  forefinger  at  every  half  syllable  he  brought 
forth,  and  nodded  with  his  nose  like  an  old  singing  man.  .  .  .  Another 
would  be  sure  to  wipe  his  mouth  with  his  handkercher  at  the  end  of 
every  full  point.  And  ever  when  he  thought  he  had  cast  a  figure  so 
curiously,  as  he  dived  over  head  and  ears  into  his  auditors'  admiration, 
he  would  take  occasion  to  stroke  up  his  hair,  and  twine  up  his  mus- 
tachios  twice  or  thrice  over,  while  they  might  have  leisure  to  applaud 
him." 

The  "  sentimental  school  "  of  the  late  eighteenth  century 
was  fond  of  sighs,  tears,  swoonings,  and  the  attitudes  of 
languorous  and  mysterious  melancholy.  Professor  Mor- 
ley  enumerates  the  weepings  in  the  Man  of  Feeling.2  The 
pages  of  the  famous  Clarissa  and  the  representative 

1  Jusserand,  Roman  Anglais,  p.  64;    Masson,  p.  153;   etc.     See   the  ex- 
tended study  of  "  Physiognomik  und  Mimik "  in  Kiemann. 

2  Introduction  to  Cassell's  National  Library  edition. 


CHARACTERIZATION  I  r  7 

Juliet  Grenville  (by  Brooke)  offer  quite  as  rich  opportunity 
for  such  statistics.  Pantomime  has  a  particular  human 
value  in  the  novel  of  manners ;  in  modern  naturalism,  it 
inclines  to  the  opposite  tendency  of  animalism. 

95.  Utterance.  —  Careful  analysis  of  the  speech  of  a  char- 
acter might  note  general  habits  of  loquacity  or  silence, 
carelessness  or  accuracy ;  the  quality  and  intonation  of  the 
voice ;  vocabulary  and  syntax,  etc.  In  the  novel,  the 
modulation  of  the  voice  can  be  only  slightly  indicated  by 
direct  means,  and  the  indirect  often  seem  ineffective  or 
unreal.  (Compare  Sections  22-24.)  This  is  especially 
true  of  the  singing  voice.  No  refinement  of  literary  de- 
scription can  rival  the  histrionic  art  in  interpreting  the 
tragic  pathos  of  the  songs  of  Ophelia  and  Desdemona. 

It  is  interesting  to  speculate  just  what  imagery  of  sound  and  just 
what  interpretation  of  character  underlie  Jane  Austen's  frequent  state- 
ment that  Elizabeth  Bennet  "cried"  her  words.  Detailed  attention  to 
enunciation,  in  the  service  of  romantic  sentimentalism,  is  found  in 
some  of  the  short  stories  of  Hendrik  Conscience.  He  repeatedly  uses 
such  descriptive  terms  as  "  unintelligible,"  "  almost  inaudible,"  "  mur- 
mured," "  whispered,"  "  scarcely  articulate,"  etc.  In  several  cases  he 
follows  the  development  of  the  voice  from  a  very  low  utterance  to  loud- 
ness  in  a  single  speech. 

In  vocabulary  and  syntax,  the  limitation  of  the  character 
by  the  author  himself  is  often  very  noticeable.  Unreality 
or  falseness  is  liable  to  appear  in  attempts  at  highly 
specialized  technical,  professional,  or  historical  language. 
Extended  and  coherent  speeches  by  characters  suffering 
from  great  pain  or  great  weakness  are  often  improbable 
to  the  imagination,  even  if  they  are  scientifically  possible. 

The  speech  of  children  is  an  interesting  detail.  William  and  Anne 
in  Browning's  Strafford  are  curiously  mature  in  vocabulary  and  syntax. 
Contrast  the  extended  and  lifelike  talk  of  Tom  and  Maggie  Tulliver. 


Il8  THE   STUDY   OF   A   NOVEL 

The  children  in  Sense  and  Sensibility  are  "  full  of  monkey  tricks,"  and 
express  themselves  by  screams,  sobs,  pinches,  and  kicks  instead  of 
words.  (See  Chapter  XXI.) 

Propriety,  in  an  untechnical  sense,  frequently  forbids  a 
complete  record  of  the  imagined  utterance  of  a  character. 
Profanity  and  vulgarity  have  been  defended  on  the  princi- 
ple of  dramatic  "  decorum  "  since  the  days  of  Chaucer,  at 
least ;  but  the  novelist  has  often  hesitated  to  carry  out  his 
theoretical  right.  The  expression  of  very  intense  passion, 
secular  or  religious,  is  often  perceptibly  toned  down.  Sid- 
ney records  the  beautiful  prayer  of  Pamela,  and  Richard- 
son displays  the  most  personal  and  profound  religious 
emotion  of  Clarissa ;  but  such  frank  exhibition  of  the 
sacred  privacy  of  passion,  though  still  common,  is  not  in 
complete  accord  with  the  cultural  taste  of  our  own  time. 

96.  Physiological  Psychology.  —  In  few  novels,  even  of 
recent  date,  is  the  human  soul  considered  as  merely  the 
temporary  result  of  chemical  and  physical  forces.  Modern 
materialism,  in  its  complete  formula,  has  not  yet  proved 
attractive  or  feasible  for  many  literary  artists.  Average 
criticism  of  the  day  rebukes  both  the  tendency  of  the 
naturalist  to  reduce  all  psychic  experiences  to  physiologi- 
cal terms;  and  the  tendency  of  the  pure  psychologist 
to  study  the  soul  as  though  it  were  independent  of  the 
body. 

Physiological  psychology,  broadly  interpreted,  is  not  a  new  element 
in  the  novel.  The  physical  and  mental  characteristics  of  sexual  love 
are  causally  related  in  Daphnis  and  Chloe  and  other  Greek  romances, 
as  they  are  in  corresponding  Elizabethan  descriptions.  In  Jack  Wilton 
there  are  some  vigorous  strokes  to  indicate  the  physical  effects  of  a 
long-continued  spirit  of  revenge  :  "  My  tongue  with  vain  threats  is 
swolen,  and  waxen  too  big  for  my  mouth.  My  eyes  have  broken  their 
strings  with  staring  and  looking  ghastly,  as  I  stood  devising  how  to  frame 
or  set  my  countenance  when  I  met  thee,"  etc. 


CHARACTERIZATION  1 19 

A  fundamental  conception  of  the  sentimental  school,  in 
its  analysis  of  "sensibility,"  was  the  rapid  response  of  the 
body  to  the  easily  agitated  soul.  Many  of  the  heroes  as  well 
as  heroines  of  the  period  might  have  said,  with  a  character 
of  Karamzin,  "  I  am  a  mere  mortal,  the  slave  of  sensibil- 
ity ;  "  or  quoted  sympathetically  this  longer  exposition  from 
Brooke's  Juliet  Grenville:  — 

"  O  madam,  what  kind  of  a  frame  is  this  frame  of  our  mortality  ?  We 
die  with  pain  ;  we  die  with  pleasure  ;  we  can  bear  nothing  in  excess. 
We  turn  away  from  things  indifferent  .  .  .  and  yet,  when  our  sensations 
rise  to  a  certain  pitch,  the  degree  becomes  quite  insufferable,  whatever 
its  nature  may  be.  Imagination,  like  an  executioner  of  the  pitiless  In- 
quisition, keeps  his  rack  ever  in  readiness  ;  he  stretches  us  thereon  at 
pleasure,  and  strains  the  cords,  and  we  lie  panting  and  expiring  beneath 
the  tension."  In  the  same  novel,  the  heroine  is  one  day  discovered,  at 
the  age  of  five,  with  her  doll  undressed  :  —  u  The  moment  that  we  en- 
tered, you  started,  as  greatly  alarmed ;  and  your  face,  neck,  and  bosom 
were  instantly  covered  with  scarlet,  in  your  dread  that  the  men  should 
see  the  nakedness  of  your  baby."  When  such  heroines  arrive  at  matur- 
ity, they  prefer  drowning  to  a  rescue  which  demands  disrobing. 

Recent  naturalism  has  often  become  biological  or  even 
"  animalistic  "  in  its  view  of  the  relations  of  body  and  soul. 
It  has  analyzed  the  physiological  elements  of  all  kinds  of 
sensation,  —  the  muscular  and  nervous  aspects  of  thirst, 
starvation,  mutilation,  and  the  death  agony.  It  has  elabo- 
rated the  physiological  psychology  of  "  love,"  degeneracy, 
religious  frenzy,  insanity,  and  many  other  forms  of  abnor- 
mal consciousness.,  It  has  described  with  gusto,  also,  the 
merely  animal  joy  of  robust,  "  red-blooded  "  vitality.  Nat- 
uralism of  this  type  is  characteristic  of  Zola,  d'Annunzio,  the 
Goncourt  brothers,  Dostoyevsky ;  in  somewhat  less  degree 
of  Tolstoi,  Bjornson,  in  his  later  work,  and  Hardy.  It  has 
relatively  little  place  in  American  fiction. 


120  THE   STUDY   OF  A   NOVEL 

In  George  Eliot  there  are  many  touches  of  this  kind,  but  she  is 
never  primarily  a  physiologist.  The  physical  effects  of  grief  are  shown 
in  Adam  Bede,  and  the  approaching  motherhood  of  Hetty  Sorrel  is 
described  partly  in  the  spirit  of  physiological  psychology,  but  with  the 
emphasis  clearly  on  the  moral  experience.  In  Silas  Marner,  the  cata- 
lepsy of  the  hero  is  rather  obscurely  treated,  on  its  physical  side  ;  and 
the  love  relations  of  Eppie  and  Aaron,  Godfrey  and  Nancy,  Godfrey 
and  Molly  even,  are  given  a  very  slight  basis  in  the  flesh. 

97.  Pure  Psychology.  — The  types  of  character  given  in 
Section  87  may  suggest  deeper  study  of  the  individual  soul. 
The  consciousness  of  a  character  may  be  considered  under 
such  forms  as  imagination,  memory,  observation,  generaliza- 
tion, sensation,  emotion,  volition,  etc.  Its  subject,  so  to 
speak,  may  be  the  individual  himself,  sex,  age,  occupation, 
nationality,  race ;  or  the  wider  conceptions  suggested  by 
such  phrases  as  "cosmic  emotion"  and  Weltschmerz. 

The  consciousness  of  nationality  is  very  strong  in  the  characters  of 
Westward  Ho !  and  Soil  und  Haben ;  it  is  hardly  recognizable  in  the 
villagers  of  Silas  Marner.  Balzac  analyzes  the  specialized  conscious- 
ness of  the  Parisian  in  many  characters. 

If  by  religious  consciousness  one  means  the  sense  of  the  existence 
of  God,  it  is  distinct  in  Dolly  Winthrop,  dim  and  uncertain  in  Silas 
Marner ;  practically  latent  in  Elizabeth  Bennet,  and  not  even  suggested 
in  Queen  Esther. 

In  the  direct  portrayal  of  self-consciousness  proper,  the 
novel  departs  widely  from  life.  In  actual  experience,  one 
can  acquire  only  a  vague  and  fragmentary  acquaintance 
with  the  inner  life  of  any  other  being.  The  novelist  may 
of  course  transfer  his  own  experience  to  his  character, 
with  such  modification  as  imagination  permits ;  or  he  may 
content  himself  with  the  typical.  Inference,  analogy, 
generalization,  dramatic  power,  and  human  sympathy  may 
vastly  enlarge  his  insight  into  individuality  ;  but  no  author 


CHARACTERIZATION  1 2 1 

can  solve  the  mystery  of  the  individual.  In  the  case  of 
historical  characters,  the  novelist  may  to  some  extent 
utilize  their  own  records  of  experience;  but  these  are 
imperfect  and  liable  to  misinterpretation.  He  is  scien- 
tific, in  a  true  sense,  only  when  he  presents  the  typical. 

The  novelist  may  explore  the  region  of  the  "  sub-con- 
scious " ;  or  the  mysteries  of  child,  animal,  and  supernat- 
ural consciousness ;  but  these  belong,  for  the  most  part,  to 
the  odds  and  ends  of  characterization.  In  describing  the 
mental  life  of  supernatural  beings,  anthropomorphism  is 
inevitable.  One  may  perhaps  conceive  other  forms  of 
thought  and  feeling  than  the  human,  in  the  abstract ;  but 
if  the  attempt  is  made  to  embody  them  in  the  concrete, 
they  tend  to  be  transformed  into  the  familiar  shapes  of  our 
present  "  type  of  consciousness." 

In  general,  the  novel  has  been  occupied  with  the  more 
intense  experiences  of  the  soul ;  though  realism  has  given 
attention  to  the  more  ordinary  mental  history  of  domestic, 
professional,  and  political  life.  Abnormal  psychology  may 
be  approached  with  the  romantic  craving  for  the  strange 
and  mysterious;  or  in  an  ethical  spirit,  as  in  Hawthorne ; 
or  in  a  somewhat  scientific  spirit,  interested  in  the  light 
thrown  on  more  universal  experience,  as  to  some  degree  in 
Poe  and  Balzac.  The  tendency  of  such  characterization  is 
toward  physiological  psychology,  for  obvious  reasons. 

98.  Identity,  Individuality,  and  Type. — The  Bertillon 
and  similar  methods  of  identifying  criminals  emphasize  the 
unique  form  of  every  human  body.  The  early  novelists 
made  frequent  use  of  such  distinguishing  details  as  birth- 
marks, scars,  moles,  etc.  In  fictitious  literature,  confused 
physical  identity  —  sometimes  due  to  bodily  resemblance, 
as  in  the  Comedy  of  Errors ;  more  commonly  to  disguise 
by  costume  —  may  be  a  rich  source  of  comic  or  tragic 


122  THE   STUDY   OF   A  NOVEL 

effect.  Confused  moral  identity  is  capable  of  large  ethical 
and  psychological  value,  as  in  the  Induction  to  the  Taming 
of  the  Shrew. 

Double  consciousness  has  been  mentioned  in  Section  87.  Compare 
Stevenson's  Dr.  Jekyll  and  Mr.  Hyde,  Poe's  William  Wilson,  Aldrich's 
Queen  of  Sheba,  etc.  Triple  consciousness,  studied  at  some  length  in 
James'  Principles  of  Psychology,  has  received  little  or  no  attention  in 
the  novel  as  yet. 

In  physical  and  moral  history  each  individual  is  easily 
identified,  if  the  details  are  noted.  No  two  individuals  can 
occupy  the  same  place  at  the  same  time  ;  nor  do  they  ever 
have  the  same  sequence  of  emotions  or  thoughts.  Every 
character  in  all  fiction  is  perfectly  distinct  from  every  other, 
though  the  distinction  may  not  always  merit  study. 

Moral  individuality,  in  any  important  artistic  sense,  is  of 
course  a  much  deeper  matter.  Its  problem,  stated  philo- 
sophically, but  in  a  form  applicable  to  the  art  of  the  novel- 
ist, is  given  thus  in  Royce's  Conception  of  Immortality :  — 

"  Individuality  is  something  that  we  demand  of  our  world,  but  that, 
in  this  present  realm  of  experience,  we  never  find.  It  is  the  object  of 
our  purposes,  but  not  now  of  our  attainment ;  of  our  intentions,  but  not 
of  their  present  fulfilment ;  of  our  will,  but  not  of  our  sense  nor  yet  of 
our  abstract  thought ;  of  our  rational  appreciation,  but  not  of  our  de- 
scription ;  of  our  love,  but  not  of  our  verbal  confession.  We  pursue  it 
with  the  instruments  of  a  thought  and  of  an  art  that  can  define  only 
types,  and  of  a  form  of  experience  that  can  show  us  only  instances  and 
generalities.  The  unique  eludes  us,  yet  we  remain  faithful  to  the  ideal 
of  it,  and  in  spite  of  sense  and  of  our  merely  abstract  thinking,  it  be- 
comes for  us  the  most  real  thing  in  the  actual  world,  although  for  us  it 
is  the  elusive  goal  of  an  infinite  quest/1 

Many  of  the  methods  of  characterization  noted  in  the 
preceding  sections  may  be  used  either  for  individualizing 
or  typifying.  Certain  social  and  psychological  types  will 


CHARACTERIZATION  1 23 

be  suggested  by  the  previous  grouping  of  the  dramatis 
personae.  Excellent  examples  of  fairly  pure  types  are 
found  in  the  "  characters  "  of  Overbury  and  La  Bruyere. 
Recent  study  of  the  development  of  fiction  has  given  some 
attention  to  their  influence  on  the  novel. 

Burlesque  often  throws  light  on  character  types.  In  this  and  other 
forms  of  imitation  or  conscious  contrast,  acquaintance  with  the  original 
conceptions  is  essential.  Don  Quixote  must  be  compared  with  the 
knights  in  serious  romance  of  chivalry  ;  Joseph  Andrews  with  Pamela ; 
Jacopo  Ortis  with  Werther;  Marianne  Dashwood  with  such  heroines 
as  the  one  noted  in  Section  96.  Occasionally  serious  and  burlesque 
treatment  of  the  same  type  occur  in  a  single  composition ;  for  example, 
the  pastoral  type  in  As  You  Like  It,  and  Sidney's  Arcadia.  A  character 
at  first  quite  original  for  fiction  often  tends  to  pass  rapidly  into  conven- 
tional type,  like  the  fierce  hero  of  Jane  Eyre,  or  the  sceptical  sufferer  in 
Robert  Elsmere. 

Specific  knowledge  of  history  is  of  course  necessary  to 
understand  fully  many  of  the  character  types  in  fiction.  It 
is  impossible  to  interpret  Turgenieff  and  other  modern 
Russian  novelists  rightly  without  some  acquaintance  with 
Russian  social  movements.  Carlyle's  Chartism  may  be  of 
value  in  the  study  of  Kingsley's  Yeast  and  Alton  Locke. 

Single  characters  often  represent  quite  distinctly  several 
minor  and  major  types.  Silas  Marner  is  a  type  of  the 
English  weavers  of  his  period  ;  of  all  human  beings  morally 
exiled  by  the  treachery  of  their  fellows ;  of  all  souls  experi- 
encing a  tragic  separation  between  their  present  and  their 
past. 

The  general  value  of  allegorical  and  symbolical  charac- 
ters was  suggested  in  Section  85.  The  allegorical  interest 
may  be  very  vague,  as  in  Robinson  Crusoe ;  more  definite, 
as  in  Wilhelm  Meister;  or  approaching  "  isomorphic " 
value,  as  in  Pilgrim's  Progress.  Double  allegory,  after 


124  THE   STUDY   OF  A   NOVEL 

the  fashion  of  the  Faery  Queen,  seems  quite  rare  in  prose 
fiction. 

99.  Character  Change.  —  Lotze's  clear  and  simple  state- 
ment that  "  the  slow  shaping  of  character  is  the  problem 
of  the  novel," l  suggests  a  vast  field  of  historical,  technical, 
and  theoretical  interest.  Character  change,  in  some  form, 
is  found  in  nearly  all  extended  fictions,  but  in  early  works 
it  is  often  too  rapid,  or  too  crude  in  motivation  to  be  a 
genuine  study  of  the  "  problem."  The  sudden  transforma- 
tions in  the  characters  of  Romeo,  Proteus,  Bertram,  and 
Ferdinand  are  due  in  part,  no  doubt,  to  the  limitations  of 
the  drama ;  but  the  novel  prior  to  Richardson  offers  many 
analogous  examples.  There  is  some  study  of  gradual  devel- 
opment of  character,  however,  in  Euphues,  Rosalind,  and 
Jack  Wilton.  That  Defoe  takes  no  low  rank  in  this  respect 
is  proved  by  reference  to  Colonel  Jacque  and  Moll  Flanders, 
as  well  as  Robinson  Crusoe. 

Character  development  may  be  conceived  as  mainly  an 
unfolding  of  original  tendency,  often  with  distinct  emphasis 
upon  heredity ;  or  as  the  result  of  natural  or  social  envi- 
ronment, the  influence  of  the  supernatural,  or  the  will 
of  the  character  himself.  The  last  process  is  given  the 
general  term  "  characterization  "  by  Giddings,2  and  its  prin- 
cipal methods  are  designated  as  "  persistence,  accommo- 
dation, self-denial,  and  self-control."  The  development  of 
a  character  is  generally  greatly  modified  not  only  by  reac- 
tion upon  the  traditions,  habits,  and  will  of  social  groups, 
but  by  relations  to  other  individuals.  The  influence  of 
individual  upon  individual  can  be  more  extensively  and 
more  intensively  studied  in  the  novel  than  in  any  other 
form  of  art ;  and  more  concretely  than  in  sociology. 

1  Outlines  of  /Esthetics  ;  translated  by  Ladd. 

2  Inductive  Sociology. 


CHARACTERIZATION  1 25 

Character  development  may  follow  many  lines  —  that  of 
general  culture,  as  in  Wilhelm  Meister  and  the  educational 
novel;  of  emotional  power;  of  artistic  genius;  of  public 
influence,  theological  belief,  etc.  The  study  which  appeals 
most  strongly  to  many  novelists  is  that  of  moral  develop- 
ment, upward  or  downward.  Bunyan's  Mr.  Badman  gives, 
in  the  limited  space  of  a  short  novel,  a  very  original  por- 
trayal of  downward  movement.  Defoe  studied  both  dete- 
rioration and  improvement.  It  has  often  been  noted  that 
novelists  seem  to  prefer  the  development  of  the  bad  rather 
than  the  good  as  a  subject  for  careful  analysis.  It  is  not 
difficult  to  give  some  reasons  for  this,  based  on  the  nature 
of  art ;  and  perhaps  some  based  on  ethical  and  psychologi- 
cal interests.  For  one  thing,  progress  downward  more  often 
shows  a  symmetrical  movement  than  progress  upward. 

100.  Direct  and  Indirect  Characterization.  —  The  most 
direct  manner  in  which  a  character  appears  before  the 
reader  is  in  his  speech,  actions,  and  thoughts.  His  physi- 
cal presence  can  be  suggested  only  by  the  author's  descrip- 
tion, or  the  effect  on  other  dramatis  personae.  Soliloquy, 
in  the  set  form  found  in  early  fiction,  is  now  practically 
obsolete ;  but  in  modified  form  it  is  often  perfectly  natural 
to  the  character,  and  it  serves  a  unique  and  valuable  func- 
tion in  characterization.  Self-characterization,  whether  in 
soliloquy  or  elsewhere,  is  in  a  sense  less  direct  than  uncon- 
scious revelation  of  character. 

The  analyses  and  opinions  of  the  author  introduce  a 
third  party  between  the  character  and  the  reader,  though 
with  very  various  degrees  of  intrusion.  "  Dramatic  objec- 
tivity "  may  be  violated  even  in  the  description  of  physiog- 
nomy. The  novelist's  approval,  hostility,  or  apology  in 
reference  to  moral  qualities  are  more  important  offences 
against  that  critical  canon. 


126  THE   STUDY   OF   A  NOVEL 

In  John  Brent,  the  author,  Theodore  Winthrop,  gives  two  paragraphs 
to  his  heroine's  nose,  expressing  the  opinion  that  the  other  facial  fea- 
tures are  "only  tributary  to  the  nose,  standing  royally  in  the  midst,  and 
with  dignity  presiding  over  its  wayward  realm."  He  is  an  anarchist, 
however,  in  respect  to  a  certain  type  of  nasal  sovereign :  —  "  Positive 
aquiline  noses  should  be  cut  off.  They  are  ugly ;  they  are  immoral ; 
they  are  sensual." 

George  Eliot  is  quite  a  sinner  in  the  matter  of  apology,  and  seems  to 
fear  that  the  reader  may  identify  author  with  characters.  In  Adam 
Bede,  for  example,  she  reminds  us  that  Adam  "had  the  blood  of  the 
peasant,"  and  gives  a  satirical  analysis  of  Hetty's  character  for  the 
"  philosophical  reader." 

On  this  matter  in  general  compare  Sections  58  and  83. 

In  a  strictly  dramatic  novel,  the  most  important  indirect 
characterization  is  by  means  of  the  dramatis  personae. 
Theoretically  complete  survey  of  any  character  would 
include  the  opinions  or  unconscious  attitude  of  friend  and 
foe,  child  and  adult,  animal  and  God.  In  practise,  com- 
pleteness yields  to  artistic  selection,  but  each  point  of  view 
has  its  own  peculiar  value.  A  man  often  has  a  new  con- 
ception of  his  own  character  in  the  presence  of  children  or 
animals  —  not  always  pleasing  to  self-conceit.  In  real  life, 
the  supposed  opinion  of  God  is  often  an  important  element 
in  self-characterization,  and  in  a  man's  judgment  of  his 
fellows.  Except  in  a  limited  way,  the  novelist  usually 
gives  this  opinion  only  as  it  appears  in  the  minds  of  the 
dramatis  personae. 

The  fact  that  any  characterization  of  B  by  A  may  clearly  reveal  the 
nature  of  A  as  well  as  B  is  often  utilized  with  much  dramatic  effect  in 
the  novel. 

The  children  of  Jane  Austen  are  introduced  largely  to  indicate  the 
character  of  adults;  those  of  George  Eliot  frequently  have  a  more 
independent  value,  but  Eppie,  as  a  child,  exists  mainly  to  enrich  the 
characterization  of  Silas  and  Godfrey,  and  focus  it. 


CHARACTERIZATION  127 

101.  General  Methods.  —  Some  methods  of  characteriza- 
tion are  based  on  literary  conventions;  others  on  the 
inherent  nature  of  character  study.  Such  formulas  as 
"indescribable,"  "not  to  be  analyzed,"  "a  paradox,"  etc., 
may  be  the  sincere  expression  of  genius  ;  or  may  result 
from  incapacity  or  slovenly  talent.  The  character  cast 
mainly  into  the  mould  of  a  "  dominant  passion,"  largely  an 
eighteenth  century  conception,  but  imitated  in  such  studies 
as  Pere  Goriot  and  Quasimodo,  is  frequently  of  literary 
rather  than  vital  quality.  Vague  or  light  impression  of 
character  may  be  quite  legitimate  in  romance  aiming  to 
liberate  rather  than  discipline  the  reader's  imagination,  or 
to  place  the  aesthetic  emphasis  upon  plot. 

In  real  life,  a  satisfactory  view  of  individual  character  is 
usually  a  combination  of  analysis  and  synthesis.  Speaking 
of  over-analysis  in  artistic  characterization,  Veron 1  says : 
"  We  want  a  mental  stimulus,  not  a  treatise  on  anatomy." 
Right  relations  between  analysis  and  synthesis  can  be 
attained  only  by  dramatic  power,  psychological  instinct, 
and  human  sympathy. 

"  Hedging,"  "  foil,"  climax,  contrast,  and  similar  methods 
are  effective  and  based  on  reality,  though  often  used  with 
much  artificiality.  Contrast  in  particular,  whether  studied 
in  the  individual  or  in  a  wider  area,  is  an  almost  indispen- 
sable resource ;  but  when  realistic,  is  rarely  complete  or 
carried  out  into  antithetical  detail.  The  economic  treat- 
ment is  suggested  by  Royce  : 2  — 

"The  consciousness  of  likeness  and  of  difference  help  each  other; 
and  theiefore  in  a  measure  it  is  true  that  the  more  we  get  of  one  of 
them,  before  our  knowledge,  the  more  we  get  of  the  other.  So  they 
decline  altogether  to  be  known  separately." 

1  Esthetics.  2  Conception  of  Immortality, 


128  THE   STUDY   OF  A   NOVEL 

The  principle  of  inference  is  of  wide  application,  and 
one  constantly  employed  in  the  finer  effects  of  characteri- 
zation. 

In  the  relations  of  soul  and  body,  it  is  comparatively  immaterial  to 
the  novelist  whether  one  trembles  because  he  is  afraid,  according  to  the 
old  psychology,  or  is  afraid  because  he  trembles,  according  to  Professor 
James'  hypothesis.  In  either  case  the  traditional  inferences  from  the 
physical  phenomena  are  correct  for  practical  purposes  of  character  study. 

Many  important  differences  between  the  presentation  of 
character  in  the  novel  and  in  real  life  are  apparent.  In 
the  novel  the  entire  history  of  a  character  unfolds  before 
us  in  a  few  hours.  Our  later  intimacy  may  extend  over 
many  years,  and  our  conception  may  undergo  great  trans- 
formation, but  the  character  itself  presents  no  new  data. 
In  real  life  association  with  human  beings  involves  our 
influence  upon  them.  The  characters  of  a  novel  have 
influenced  real  persons  in  countless  ways,  —  one  famous 
example  is  found  in  the  suicides  that  followed  Werther,  — 
but  there  is  no  possible  influence  in  the  opposite  direction. 
In  the  novel,  again,  every  character  is  interpreted  in  rela- 
tion to  a  certain  fixed  number  of  persons,  events,  places, 
times,  emotions,  and  ideas,  and  no  others;  that  is,  it 
appears  in  a  plot  —  a  type  of  unity  which  has  no  exact 
model  in  life  itself. 

These  and  similar  facts  have  important  effects  on  the 
problem  of  characterization  in  the  novel.  Among  other 
results  is  possibly  that  of  a  necessary  exaggeration,  if  the 
character  is  to  appear  in  a  perspective  resembling  that  of 
our  experience. 

102.  Group  Characterization.  —  In  the  group,  there  is 
always  a  possible  interest  in  the  group  itself,  and  in  the 
individuals  composing  it.  In  some  ways  these  two  in- 


CHARACTERIZATION  129 

terests  are  antagonistic ;  in  some  ways  complementary. 
Without  some  distinction  of  individuals,  a  group  which  we 
can  neither  actually  see  nor  hear,  tends  to  become  a  mere 
abstraction.  Partial  individualization,  not  obscuring  the 
group,  is  found  in  the  Shakespearian  formula,  "  first  citi- 
zen," etc.  Concerted  speech,  mentioned  in  Section  19,  is 
an  artificial  method  of  unifying  the  mental  and  moral 
characteristics  of  the  group. 

Considered  as  a  unit,  a  group  may  be  characterized  in 
many  respects  like  an  individual ;  but  it  tends  to  become 
typical,  it  rarely  appears  more  than  a  few  times  with  ab- 
solute identity,  and  it  does  not  often  embody  any  elaborate 
study  of  mental  or  moral  development. 


CHAPTER   VII 
SUBJECT-MATTER 

103.  Subject-Matter  and  Form.  —  In  the  entire  novel, 
and  in  its  separate  passages,  the  main  interest  of  the 
author  or  the  critic  may  be  concentrated  upon  either  of 
these  elements,  or  it  may  be  concerned  with  their  intimate, 
complex  relations.  In  every  type  of  literature,  all  the 
subject-matter  is  given  linguistic  form.  '  In  the  novel,  if  a 
subject  is  considered  for  its  service  to  the  plot,  its  relation 
to  the  illusion,  one  is  concerned  with  novelistic  form  ;  when 
the  emphasis  is  laid  on  thought  for  its  own  sake,  one 
studies  thematic  values  which  are  essentially  the  same  in 
all  forms  of  art.  The  ideal  relation,  for  most  critics,  is 
found  only  when  a  significant  subject  is  "bodied  forth" 
in  an  appropriate  and  significant  form. 

The  subject  landscape,  when  introduced  simply  as  a  background  for 
incident,  has  primarily  a  formal  value ;  when  made  a  topic  of  conversa- 
tion by  the  characters,  its  value  may  be  partly  formal,  partly  thematic ; 
when  discussed  for  its  own  sake,  in  the  author's  comment,  the  value  may 
be  almost  purely  thematic.  In  the  novel  of  pure  dramatic  structure, 
every  subject  is,  in  the  first  instance,  formal  —  subordinate  to  the  char- 
acters and  the  situation. 

In  the  short  story  and  the  romance,  the  interest  in  form  is  often  more 
complete  and  continuous  than  in  the  novel.  The  terms  "  tale  "  and 
"  story  "  suggest  the  predominance  of  form  ;  the  terms  "  study,11  "  pur- 
pose-novel,11 etc.,  imply  a  larger  attention  to  subject-matter  for  its  own 
sake.  Allegory  and  symbolism,  at  their  best,  attain  a  rich  harmony  of 
the  two  interests.  Examine  the  relations  of  subject  and  form  in  semi- 
novelistic  works,  such  as  the  philosophical  dialogue  of  Plato  and  his 
imitators,  the  "  letter-essay,11  Toxophilus,  The  Complete  Angler,  etc. 

130 


SUBJECT-MATTER  1 3 1 

104.  Extensive  and   Intensive  Subject.  —  The  novelist, 
to  some  extent,  must  choose  between  the  consideration  of 
a  large  variety  of  subjects,  and  the  detailed  study  of  a  more 
limited  field.    He  may  choose  gladly,  instinctively,  or  with  a 
sense  of  artistic  renunciation.    He  may  attempt  to  combine 
an  extensive  survey  in  general  with  an  intensive  treatment 
of  specific  subjects ;  but  a  novel  is  not  often  of  equal  value 
as  a  "large  diffused  picture"  of  life  (Smollett)  and  as  a 
profound  study  of  a  concentrated  theme.     This  distinction 
may  be  kept  in  mind  throughout  the  present  chapter. 

105.  The  Typical  and  the  Individual.  —  Typification  is 
an  important  method   of  enlarging  the  scope  of  a  novel 
without  losing  the  force  of  an  intensive  treatment.     Any 
"  section  of  life  "  may  be  interpreted  in  such  manner  as  to 
bring  out  the  values  of  an  historical  period,  of  the  general 
organization  of  society,  or  of  human  experience  as  a  whole  ; 
as  a  robin  may  be  studied  as  representative  of  the  thrushes, 
of  all  bird-life,  or  of  the  vertebrates.     This  typical  quality 
may  be  clearly  expressed  by  the  novelist,  or  it  may  be 
merely  suggested  to  the  reader.    It  may  be  found  in  all  the 
elements  of  the  novel  —  in  setting,  conversation,  motiva- 
tion, as  well  as  in  incident  and  character. 

1 06.  Exhibition  and   Interpretation.  —  The  selection  of 
certain  data  rather  than  others,  the  proportion  of  emphasis 
upon  those  chosen,  and  the  moulding  of  them  into  the 
unity  of  a  plot,  give  a  real  interpretation  of  life  in  every 
novel.      Beyond   this   inevitable   "  criticism  of   life  "   the 
novelist  may  be  as  silent  as  possible,  or  he  may  consider 
his  direct  interpretation  as  equally  important  with  the  pic- 
ture itself. 

The  various  "  isms  "  of  the  schools  may  be  compared  from  this  point 
of  view.  A  frank  statement  of  impressionism,  as  offering  an  array  of 
human  phenomena  without  any  attempt  to  explain  their  real  meaning, 


132  THE   STUDY   OF   A   NOVEL 

is  quoted  from  Thomas  Hardy,  on  page  303.  The  chief  value  of  the 
philosophical  novel  is  in  its  effort  to  give  some  unified  explanation  of  all 
the  material  it  brings  together.  Note  the  opinions  of  Masson  and 
Scherer  quoted  in  Section  119,  and  Lotze's  definition  of  art,  in  Section 
208. 

107.  The  Subject  of  the  Novel.  —  Probably  few  critics 
would  oppose  the  idea  that  the  principal  subject  of  every 
true   novel   is  humanity,  in    one   or   more  of  its   infinite 
aspects ;  and  this  in  a  sense  which  really  distinguishes  the 
novel  from  most  if  not  all  other  forms  of  art.     All  art  is 
an  expression  of  the  humanity  of  the  artist  himself,  but  the 
novelist  always,  in  large  measure,  discovers  his  humanity 
by  observation  of  the  life  of  other  men. 

The  question,  just  what  aspect  of  this  vast  subject  is  the 
true  field  of  the  novel,  cannot  be  so  easily  answered.  Two 
theories  which  can  be  clearly  distinguished  consider,  re- 
spectively, the  life  of  society  and  the  life  of  the  individual 
to  be  the  essential  theme  of  the  novel.  These  two  views  are 
not  necessarily  antagonistic,  and  in  every  great  novel  there 
is  matter  enough  on  both  themes  to  repay  separate  study. 

The  following  outline  of  analysis  must  be  treated  flexibly,  and 
adapted  to  the  needs  of  a  concrete  study.  For  more  systematic  analy- 
sis of  specific  phases  of  subject-matter,  reference  must  be  made  to  the 
underlying  sciences  of  sociology,  psychology,  history,  and  ethics. 

1 08.  Sociology  and  History.  —  The  novel  does  not  con- 
sider humanity  in  the  abstract,  as  a  scientific  Genus  Homo, 
or  a  dramatic  Everyman  ;  but  as  it  appears  in  some  limited 
social  and  historical  relations.      The  sociological  interest 
concerns  those  forms  of  social  organization  and  life  that 
are  comparatively  permanent ;  the  historical  interest  takes 
account  of  the  conditions  belonging  to  a  particular  period 
and   locality.1     Both  of   these  interests  are  important  in 

1  See  Giddings,  p.  8. 


SUBJECT-MATTER  133 

every  representative  novel,  but  now  one  predominates,  now 
the  other.  It  might  be  said  that  the  artistic  imagination 
inclines  toward  the  transitory  phases  of  human  experience, 
toward  the  contrasts  and  shadings  which  history  continu- 
ally affords ;  and  that  the  scientific  mind  finds  a  deeper  sat- 
isfaction in  examining  the  permanent  elements  in  social  life. 

In  the  Comddie  Humaine,  the  inclusive  scheme  is  historical  —  the 
primary  aim  being  to  picture  the  French  society  of  a  limited  epoch ; 
but  there  is  a  very  rich  exhibition  of  general  social  relations.  In  Anna 
Kardnina,  the  sociological  study  seems  more  significant  than  the  purely 
historical ;  while  in  the  novels  of  Turgenieff,  the  temporary  conditions 
of  Russian  life  are  brought  more  decidedly  into  the  foreground,  ficott's 
interest  is  often  historical  in  the  main ;  While  George  Eliot  is  always 
deeply  interested  in  the  permanent  aspects  of  society,  even  when  she 
studies  historical  variations  in  some  detail. 

109.  Social  Composition.  —  The  importance  of  social 
composition  in  the  novel  is  partly  indicated  by  the  list  of 
types  given  in  the  appendix.  In  the  representative  social 
novel  there  is  much  interpretation  as  well  as  exhibition  of 
the  organization  of  social  groups.  While  comprehensive- 
ness requires  some  attention  to  all  the  chief  types  of  social 
groups,  many  of  the  characteristics  of  man  as  a  "  socius  " 
may  be  studied  in  any  one  group ;  —  the  family,  for  in- 
stance, may  be  viewed  as  a  kind  of  social  microcosm. 
Many  of  the  great  European  novels,  however,  are  interna- 
tional in  scope  of  subject. 

The  Family.  The  root  idea  of  the  family  may  be  found 
in  the  relations  of  man  and  wife,  or  of  parents  and  children. 

A  comprehensive  survey  of  family  organization  is  found  in  Anna 
Kardnina.  This  novel  exhibits  the  relation  of  master  and  servants, 
husband  and  wife,  man  and  mistress,  sister  and  brother,  parents  and 
children,  etc.  Its  principal  limitation,  in  this  theme,  is  that  most  of  the 
family  life  shown  is  in  the  aristocratic  circles  of  society. 


134  THE   STUDY   OF   A   NOVEL 

Other  novels  with  important  exhibition  or  interpretation  of  the  family 
group  are  Utopia,  Amelia,  The  Vicar  of  Wakefield,  Pride  and  Prejudice, 
and  The  Mill  on  the  Floss. 

The  Community.  Aside  from  the  common  types  of  rural 
village  and  city  quarter,  the  novel  may  picture  the  social 
groups  of  the  prison,  hospital,  barracks,  camp,  factory, 
business  house,  etc. 

Compare  the  studies  of  a  great  business  house — its  esprit  de  corps, 
discipline,  ranking  of  members,  etc.  —  in  Soil  und  Haben  and  Dombey 
and  Son.  Contrast  the  romantic  view  of  a  cathedral  community  in 
Notre  Dame  de  Paris  with  the  realistic  view  in  Barchester  Towers. 
Hospital  life  appears  in  La  Debacle,  under  military  conditions,  in  time 
of  war ;  and  in  I  Promessi  Sposi,  under  municipal  conditions,  in  time 
of  pestilence. 

Social  Caste.  The  very  term  caste  denotes  a  group 
that  is  defined  by  its  relations  to  other  groups.  In  the 
processes  by  which  a  class  emerges  from  the  general  social 
composition,  or  is  reabsorbed  in  it,  in  the  comedy  or 
tragedy  of  class  rivalry,  and  in  the  movements  of  an 
individual  from  class  to  class,  the  novel  of  manners,  and 
the  novel  of  social  psychology  find  a  rich  field. 

Fielding  warns  the  novelist  that  "  a  true  knowledge  of  the  world  is 
gained  only  by  conversation,  and  the  manners  of  every  rank  must  be 
seen  in  order  to  be  known."  (Tom  Jones,  XIV,  I.)  He  finds  that 
many  English  writers  fail  in  describing  the  upper  classes,  because  of 
ignorance  of  the  subject  —  a  criticism  frequently  made  of  Dickens.  In 
recent  realism,  a  similar  failure  is  often  apparent  in  the  picture  of  the 
lower  classes.  To  one  who  is  an  actual  member  of  a  given  trade  or 
profession,  familiar  in  daily  life  with  its  labor,  traditions,  language,  and 
ideals,  the  descriptions  of  it  in  the  novel  often  seem  curiously  unreal. 

Nationality  and  Race.  The  unity  of  a  national  group 
may  be  considered  in  its  physical,  linguistic,  industrial,  or 
religious  aspects,  as  well  as  in  the  purely  political.  A 
comprehensive  view  of  any  great  nation  must  include  some 


SUBJECT-MATTER  1 3  5 

picture  of  different  races.  One  of  the  largest  social  sub- 
jects in  the  novel  is  the  composition  of  empire,  whether 
conceived  in  a  semi-scientific  spirit,  or  exhibited  as  a  moral 
unity,  its  elements  fused  together,  perhaps  in  a  period  of 
special  stress,  by 

"  The  prayer  of  many  a  race  and  creed,  and  clime.1' 

Note  the  types  of  fiction  listed  in  the  appendix,  for  examples  of  dif- 
ferent treatment  of  this  subject.  Among  series  of  novels  in  which 
nationality  is  an  important  theme,  are  the  Waverley  Novels,  the 
Come'die  Humaine,  and  Gald6s'  Episodios  Nacionales  —  the  '  epic  of 
modern  Spain.1 

Cycle  of  Civilization.  Common  interests  in  religion, 
commerce,  diplomacy,  science,  or  general  cultural  con- 
ditions, may  fashion  a  considerable  number  of  separate 
political  units  into  a  larger  whole,  full  of  dramatic  interest 
and  problematic  quality.  In  all  such  extensive  groups 
there  are  discordant  elements,  and  abundant  material  for 
artistic  contrast  and  shading. 

In  modern  European  civilization,  Russia  and  Turkey  are  not  com- 
pletely assimilated  to  the  dominant  tone  of  society ;  and  the  entrance 
of  the  Orient  into  the  sisterhood  of  western  nations  offers  an  inter- 
esting spectacle.  The  gypsy,  the  Jew,  the  negro,  and  the  Indian  have 
given  picturesque  material  to  many  novels. 

no.  Social  Life. — The  relation  of  the  mere  organiza- 
tion of  society  to  its  rich  variety  of  mental  and  moral  life, 
might  be  compared  with  the  relation  of  artistic  structure 
to  style,  or  the  relation  of  anatomy  to  the  personality  of 
the  body. 

Domestic  Life.  A  study  of  this  subject  may  include 
the  ideals  of  privacy  and  hospitality,  the  emotional  har- 
mony of  the  family,  the  attachment  to  home  for  its  own 
sake,  etc.  Interpretation  often  takes  the  form  of  a  con- 
trast of  the  domestic  ideal  with  the  ideal  of  other  types 


136  THE   STUDY  OF  A   NOVEL 

of  social  life,  as  in  The  Cloister  and  The  Hearth,  and 
~  Middleman:  h ;  or  with  the  ideal  of  individual  life,  as  in 
Pilgrim's  Progress.  In  both  Silas  Marner  and  Robinson 
Crusoe  there  is  a  detailed  picture  of  domestic  life  without 
marriage. 

Industrial  Life.  Agricultural  labor  has  been  a  subject 
in  the  novel  from  the  beginning,  though  the  early  treat- 
ment was  usually  idealized  in  a  high  degree.  The  differ- 
ence between  the  rural  industry  in  Daphnis  and  Chloe  and 
in  La  Terre  is  conspicuous,  whether  viewed  from  the  social 
or  the  artistic  point  of  view. 

Early  romance  gives  a  picture  of  life  in  which  labor  in 
general  has  a  very  subordinate  place.  Modern  realism 
has  explored  the  world  of  humble  labor,  has  sympathized 
with  its  weariness  and  suffering,  and  not  rarely  has  found 
in  it  the  most  essential  elements  of  human  experience. 

Deloney's  Jack  of  Newbury  may  be  mentioned  as  an  Elizabethan 
fiction  which  gives  both  an  extensive  and  an  intensive  study  of  a  special 
industrial  class  —  the  weavers  of  England.  In  the  eighteenth  century 
there  was  a  sturdy  revolt  against  the  artificiality  of  pastoral  imagination, 
and  an  increasing  sense  of  the  value  of  real  labor  as  an  artistic  subject. 
It  is  interesting  to  note,  in  the  field  of  epic  poetry,  that  the  hero 
of  Thomson's  Castle  of  Indolence  is  no  romantic  representative  of 
chivalry,  but  a  modern  Knight  of  Arts  and  Industry. 

Political  Life.  Satire  on  contemporary  political  con- 
ditions, and  plans  for  an  ideal  political  life,  are  common  in 
the  fiction  of  the  Renaissance.  In  the  main,  the  novelist 
has  been  a  liberal  in  politics,  in  both  his  dream  and  his 
practical  attitude.  Recent  realism  has  given  attention  to 
the  routine  of  political  life,  to  its  corruption,  its  relations 
to  religion,  and  to  general  society.  Often  the  descriptions 
of  the  novelist  are  based  on  considerable  personal 
experience. 


SUBJECT-MATTER  1 37 

The  romanticists  were  allied  with  the  political  reforms  of  their  time, 
and  Victor  Hugo's  famous  statement  is  a  representative  one:  "Le 
romantisme,  tant  de  fois  mal  ddfini,  n?est.  .  .  .  que  le  libe'ralisme  en  lit- 
tdrature.  ...  La  libertd  dans  Part,  la  libertd  dans  la  socie'te',  voila  le 
double  but  auquel  doivent  tendre  d'un  meme  pas  tous  les  esprits  con- 
sdquents  et  logiques."  (Preface  to  Hernani,  1830.)  Hugo  himself,  and 
several  Russian  novelists  of  the  last  century,  suffered  some  form  of  polit- 
ical punishment  for  the  expression  of  a  liberal  political  creed. 

Religious  Life.  This  subject  may  be  considered  from 
an  ecclesiastical,  historical,  ethical,  or  artistic  point  of 
view.  In  its  deeper  aspects,  it  is  often  associated  with  the 
individual  rather  than  with  social  groups.  The  novelist 
has  usually  been  a  champion  of  human  nature,  of  a  secular 
ideal,  as  contrasted  with  any  narrow  type  of  religious  ideal. 
(Compare  Section  132.) 

Since  the  Renaissance,  the  novelist  has  had  constantly 
before  him  the  spectacle  of  a  divided  Christendom,  a  sub- 
divided protestantism,  an  academic  or  aesthetic  classical 
paganism,  and,  environing  all,  the  superstition  or  irreligion 
of  untutored  human  nature,  whether  in  the  Indian  or  the 
diplomat.  In  the  last  century,  the  development  of  a  new 
type  of  scientific  agnosticism,  and  the  conscious  separation 
of  the  ethical  element  in  religion  from  its  historical  and 
supernatural  associations,  have  offered  comparatively  new 
themes  to  the  novel. 

Hawthorne's  interest  in  Puritanism  is  ethical  rather  than  purely 
religious.  —  Mrs.  RadclifiVs  Italian,  and  The  Castle  of  Otranto,  represent 
the  artistic  introduction  of  Catholic  life,  characteristic  of  the  romantic 
movement.  In  Rob  Roy,  it  is  the  historical  and  dramatic  interest  that 
mainly  appeals  to  Scott.  Compare  the  attitude  toward  Catholic  faith  in 
Manzoni,  Newman,  and  Fogazzaro.  —  The  struggle  of  medieval  religion 
with  the  modern  secular  spirit,  in  a  country  where  the  former  is  particu- 
larly strong,  is  studied  in  La  Espuma,  Dona  Perfecta,  Pepita  Jimdnez, 
and  La  Fe\ 


138  THE   STUDY   OF   A   NOVEL 

Cultural  Life  in  General.  The  novel  gives  one  a  more 
extensive  picture  of  social  culture  than  any  other  form  of 
art.  Its  medium  of  expression,  language,  and  its  chief 
structural  form,  dialogue,  must  always  suggest  some 
special  type  of  cultural  life.  Art,  travel,  and  education  are 
among  the  social  phenomena  which  distinguish  one  state 
of  culture  from  another.  Each  of  these  subjects  is  a  major 
theme  in  one  or  another  kind  of  fiction.  The  interpreta- 
tion of  culture  by  the  novelist  often  has  a  touch  of  irony, 
for  the  imagination  sees  manners  in  their  relative  values, 
in  which  there  is  always  a  suggestion  of  comedy. 

in.  Historical  Period.  —  Every  novel  is  historical,  in  so 
far  as  it  pictures  the  life  characteristic  of  a  particular  period. 
In  a  narrower  sense,  a  novel  is  historical  when  the  author 
lays  conscious  stress  upon  such  life,  even  if  it  belongs  to 
his  own  time.  Spielhagen  defines  the  historical  novel  in 
a  third  and  more  common  sense,  as  one  portraying  a  time 
"auf  welche  dieses  Licht  [der  Erinnerung  der  jetzigen 
Generation]  nicht  mehr  vollkraftig  fallt."  1 

A  given  period  may  be  selected  for  genuine  historical 
purposes,  or  for  the  sake  of  its  ethical,  sociological,  or 
artistic  value.  If  it  is  chosen  simply  as  an  artistic  back- 
ground, the  novel  cannot  be  considered  truly  historical. 
In  Gothic  romance,  the  middle  ages  are  often  selected 
because  of  their  picturesque  quality  and  their  remoteness 
from  the  prose  of  contemporary  life.  The  first  centuries 
of  the  Christian  church  made  a  definite  religious  appeal  to 
Newman  ;  in  Ebers'  Homo  Sum,  their  interest  is  partly 
historical,  partly  artistic. 

Even  in  the  true  historical  novel,  the  material  is  not  all 
equally  characteristic  of  the  period.  Some  of  the  details 
are  usually  fully  historical ;  others  are  typically  historical ; 

1  Technik  des  Romans;   Das  Gebiet  des  Romans. 


SUBJECT-MATTER  1 39 

and  others  are  not  characteristic  of  any  special  period,  or 
are  even  out  of  keeping  with  the  particular  period  in  ques- 
tion. The  main  historical  value  may  be  found  in  the  char- 
acters, incidents,  settings,  language;  or  in  the  dominant 
mental  and  moral  tone.  Thackeray's  eighteenth  century 
novels  are  wonderful  successes  in  this  last  respect. 

The  exact  period  is  not  always  easily  stated,  for  a  small  section  of 
history  may  be  viewed  as  representative  of  a  much  larger  area.  Of 
about  1500  novels  mentioned  in  Baker's  Guide,  the  historical  distribu- 
tion is  as  follows  :  — 

Ante-Christian  period  ...  40  1500  to  1600 185 

A.D.,  i  to  700 85  1600  to  1700 315 

700  to  1400 130  1700  to  1800 420 

1400  to  1500 80  1800  to  1850 235 

The  distribution  of  Scott's  historical  survey  as  given  in  the  Library 
Edition  of  the  Waverley  Novels,  may  be  summarized  as  follows :  — 

1000  to  1400 5    1600  to  1700 8 

1400  to  1500 3    1700  to  1750 7 

1500  to  1600 4    1750  to  1800 8 

112.  Historical  Interpretation.  —  The  reader's  sense  of 
the  particular  nature  of  a  period  may  be  gained  through 
an  extensive  array  of  characteristic  details,  by  an  intensive 
study  of  striking  features,  or  by  some  general  formula. 
To  over-emphasize  the  peculiarities  of  an  epoch,  however, 
is  to  destroy  a  true  historical  quality ;  for  underneath  all 
the  transformations  of  society  lie  a  common  human  nature, 
and  practically  uniform  types  of  social  organization. 

The  author's  interpretation  will  depend  on  the  degree 
to  which  historical  imagination  has  been  developed  in  his 
generation,  as  well  as  on  his  personal  power  to  re-create 
the  past.  It  will  vary  according  to  the  nearness  and  the 
familiarity  of  the  historical  field  he  selects.  The  backward 


140  THE   STUDY   OF   A  NOVEL 

glance  of  George  Eliot  at  the  catastrophe  of  Silas  Marner 
covered  only  some  thirty  years;  but  for  the  present-day 
reader,  nearly  a  half  century  more  intervenes,  and  George 
Eliot  herself  is  an  historical  figure. 

An  interesting  pamphlet  might  be  made  of  the  views  of  history  by 
different  novelists.  Discussion  of  the  relation  of  history  to  fiction  is 
almost  as  old  as  fiction  itself.  Several  of  Scott's  ideas  have  already 
been  noticed.  Vigny's  preface  to  Cinq-Mars  is  an  important  contribu- 
tion. Mdrimee  wrote,  in  the  preface  to  the  Chronique  du  Regne  de 
Charles  IX,  "  I  don't  care  for  anything  in  history  except  anecdotes." 
(Gilbert.)  Dumas  declared  that  Lamartine  had  "  elevated  history 
almost  to  the  dignity  of  the  novel."  (Ibid.)  —  See  also  the  quotations 
from  Hugo  and  Brunetiere,  in  the  history  of  novelistic  criticism,  in  the 
appendix. 

113.  Individuality.  —  In  one  aspect,  the  life  of  the  indi- 
vidual is  a  series  of  external  phenomena,  which  the  novelist 
may  observe  as  he  observes  the  manners  of  society.  Some 
of  the  phases  of  that  external  life  are  sex,  age,  health  and 
disease,  social  success  and  failure,  repose  and  activity, 
isolation  and  companionship. 

In  the  matter  of  age,  the  novel  has  laid  stress  upon 
the  central  portions  of  life.  Infancy  and  early  childhood 
have  received  more  attention  in  recent  educational  psychol- 
ogy than  in  the  novel ;  and  old  age  has  rarely  been  a  major 
subject  in  extended  fiction. 

Baldwin's  Dictionary  of  Philosophy  gives  this  tribute  to  the  study  of 
adolescence  in  the  novel :  "  The  storm  and  stress  periods  of  Goethe 
and  John  Stuart  Mill,  of  Tolstoi  and  Marie  Bashkirtseff,  no  less  than 
the  masterly  delineations  of  George  Eliot's  Gwendolen  Harleth  and 
Maggie  Tulliver,  form  a  valuable  and  suggestive  contribution  to  the 
psychology  of  adolescence."  (Article  on  Adolescence.)  The  maturing 
of  the  individual  is  not  a  new  subject  of  the  last  century.  It  is  forcibly 
presented  in  Daphnis  and  Chloe,  and  in  Paul  and  Virginia,  in  connec- 
tion with  first  love. 


SUBJECT-MATTER  141 

In  the  inner  life  of  the  individual  the  novel  finds  a  field 
particularly  adapted  to  its  own  powers.  Lyric  poetry  may 
be  a  strong  rival  in  some  respects,  but  in  elaborate  and 
varied  study  of  the  development  and  experiences  of  moral 
individuality,  the  novel  has  no  successful  competitor,  unless 
it  be  such  poetry  as  Browning's  Inn  Album,  Red  Cotton 
Night-Cap  Country,  Sordello,  etc.,  which  is  itself  novelistic. 
Browning's  formula  in  the  dedication  of  Sordello,  "my 
stress  lay  on  the  incidents  in  the  development  of  a  soul : 
little  else  is  worth  study,"  does  not  cover  the  entire  scope 
of  the  novel,  but  it  is  applicable  to  very  many  of  the  great- 
est novels.  Brunetiere  says  that  "  the  novel  is  nothing  if 
not  psychological." 

The  inner  life  may  be  viewed  as  simple  or  complex,  as  a 
chaos  or  a  cosmos,  as  temporary  or  eternal,  as  a  revelation 
or  an  unintelligible  mystery,  as  having  value  in  itself  or 
only  in  its  relations  to  society.  Elements  in  its  composition 
are  memory,  sensation,  emotion,  thought,  and  volition ; 
among  its  episodes  are  those  of  special  activity  and  of 
languor,  of  the  domination  of  single  passions,  of  faith  and 
doubt,  of  self-reliance  and  humble  submission.  Some  lives, 
especially  in  the  short  story,  are  interpreted  through  some 
single  moral  experience.  This  is  the  conception  of  many 
love-stories ;  but  modern  realism  often  considers  experi- 
ence as  a  continuous  "  stream  of  consciousness,"  in 
which  no  quiet  pool  or  wild  cataract  can  be  viewed  as 
final. 

The  episodes  of  mental  and  moral  life  may  be  less 
easily  examined  than  those  of  the  outer  history.  In  inter- 
pretation of  other  individuals  the  novelist  is  liable  to  the 
"  psychologist's  fallacy  "  of  transferring  his  own  experience 
to  his  character.  A  clear  image  of  the  physical  person- 
ality and  its  activities  helps  to  overcome  this  tendency. 


142  THE    STUDY    OF   A   NOVEL 

The  life  of  the  sensations  is  exhibited  with  marked  emphasis  in 
Frankenstein,  in  a  semi-scientific  spirit.  The  word  sensation  itself 
occurs  some  thirty  times  ;  and  the  experiences  of  hunger,  thirst,  bodily 
fatigue  and  pain,  and  consciousness  of  organic  disturbance,  are  all 
impressed  upon  the  reader. 

The  conception  that  the  emotional  life  is  the  true  field 
of  the  novel  has  not  disappeared,  but  it  is  no  longer  held 
with  the  old  dogmatism ;  and  the  emotion  of  love,  in  par- 
ticular, is  now  viewed  as  only  one  of  many  aspects  of 
spiritual  history  the  novelist  is  free  to  study. 

Compare  the  quotations  from  Novalis  and  Madame  de  Stael,  in  the 
history  of  novelistic  criticism,  in  the  appendix.  In  Silas  Marner,  love, 
as  a  sexual  passion,  is  less  important  than  other  phases  of  love  and 
other  emotions.  —  In  many  recent  novels,  the  emotional  struggle  between 
faith  and  doubt  is  a  central  theme.  There  are  notable  studies  of  this 
subject  in  Anna  Kardnina,  Children  of  the  Soil,  and  ValdeY  La  Fd. 
—  Memory  often  has  a  large  place  in  romantic  psychology,  especially  in 
the  sentimental  school.  — The  reflective  side  of  life  is  best  exhibited  in 
the  philosophical  novel,  as  in  Rasselas  and  Wilhelm  Meister. 

114.  The  Individual  and  Society.  —  The  relation  of  these 
two  forces  may  be  interpreted  as  a  natural  harmony,  an 
unceasing  conflict,  or  a  necessary  compromise.  Not  a  few 
novelists  have  been  strong  advocates  for  the  rights  of  the 
individual,  not  only  against  social  conventions,  but  even 
against  moral  law,  as  society  has  conceived  it.  The  moral 
isolation  of  the  individual  who  rebels  against  the  social  will 
is  a  frequent  tragic  theme,  and  the  comedy  of  petty  resist- 
ance to  social  demand  has  been  largely  exhibited  in  fiction. 
The  moral  isolation  of  all  deep  individual  life,  even  when 
it  craves  sympathy  from  its  fellows,  is  a  less  common 
theme.  The  lovers  in  a  novel  usually  arrive  at  a  fairly 
complete  understanding,  as  compared  with  those  described 
in  Browning's  Two  in  The  Campagna :  — 


SUBJECT-MATTER  143 

"Just  when  I  seemed  about  to  learn  ! 

Where  is  the  thread  now  ?     Off  again  I 
The  old  trick  !     Only  I  discern  — 

Infinite  passion,  and  the  pain 
Of  finite  hearts  that  yearn." 

The  profound  religious  solitude  of  Levin,  in  Anna  Kardnina,  in  refer- 
ence to  his  wife,  recalls  the  autobiographical  confessions  of  the  author. 
Such  a  theme  belongs  mainly  to  nineteenth  century  fiction,  but  The 
Princess  of  Cleves  describes  the  emotional  isolation  of  a  husband  and 
wife,  who  are  in  complete  mutual  confidence  and  respect.  In  Robinson 
Crusoe,  it  is  interesting  to  note  the  large  measure  of  social  quality  in  the 
mental  life  of  the  hero  during  his  long  period  of  physical  solitude.  Yet 
in  its  way,  this  novel  is  a  real  and  deep  study  of  the  "  solitude  of  the 
soul." 

115.  Human  Nature.  —  Humanity  in  its  totality  never 
appears  as  a  subject  in  art,  unless  in  symbolical  treatment, 
which  is  alien  to  the  spirit  of  the  novel.  Through  the 
imagery  of  limited  social  and  historical  conditions,  all  the 
great  novels  exhibit  and  interpret  the  enduring  elements  of 
human  nature.  In  the  first  chapter  of  Tom  Jones,  Field- 
ing tells  the  reader  that  the  sole  dish  of  the  feast  is  to  be 
Human  Nature ;  but  he  adds  that  there  is  little  danger 
that  an  author  will  "  be  able  to  exhaust  so  extensive  a 
subject." 

Comprehensiveness  requires  that  the  good  and  the  bad, 
the  dignified  and  the  trivial,  the  pleasant  and  the  repulsive 
qualities  of  our  common  nature  be  exhibited ;  but  usually 
there  is  some  central  conception  which  serves  as  a  guide  in 
interpretation.  In  most  cases,  such  a  conception  is  ethical 
rather  than  purely  artistic  or  scientific.  Man  may  be 
viewed  as  inherently  bad,  or  warped  from  his  natural 
goodness  by  the  force  of  unkind  circumstances.  Many 
novelists  delight  to  show  human  nature  throwing  off  the 
disguises  under  which  society  has  endeavored  to  hide  it. 


144  THE   STUDY   OF  A   NOVEL 

\J  Often  such  broad  qualities  as  restlessness,  lack  of  self- 
knowledge,  or  ironical  divergence  between  ideal  and 
practise,  are  dominant  notes  in  the  conception. 

116.  Nature  in  Man.  — By  nature,  in  this  connection,  is 
meant  a  combination  of  qualities  found  in  man,  but  asso- 
ciated with  his  animal  life,  rather  than  with  his  humanity 
proper,  or  with  his  supposed  divinity.     Nature,  so  inter- 
preted, may  appear  in  heredity,  instinct,  health  or  disease, 
buoyancy  or  depression  of  spirits,  and  in  the  lower  passions. 
It  may  be  exhibited  in  the  individual  or  in  social  groups. 
It  is  not  identical  with  ferocity,  for   there   is   an  animal 
repose,  temporary  gentleness,  which  is  often  in  striking 
contrast  to  the  restlessness  of  the  intellectual  life,  and  the 
agonies  of   the  saint's   aspiration.     The  interpretation  of 
man  as  a  child  of  nature  may  be  optimistic  or  pessimistic. 
Nature  may  be  viewed  as  a  force  to  be  gladly  accepted,  as 
the  normal  guide  of   life,  or   as   the   arch-enemy   of   the 
rational  and  the  religious  ideal. 

From  Daphnis  and  Chloe  to  Pepita  Jimenez,  natural  instinct  has 
often  been  approved  by  the  novelist,  as  more  authoritative  than  any  prin- 
ciple of  self-denial.  Since  the  Renaissance,  the  naturalism  of  Greek 
culture,  or  even  the  uncultivated  naturalism  of  the  savage,  has  often 
been  considered  more  attractive  than  any  form  of  asceticism.  Within 
the  church  itself,  such  conceptions  as  that  of  "  muscular  Christianity  * 
have  offered  a  protest  against  the  medieval  praise  of  bodily  morti- 
fication. 

Goethe's  Wahlverwandtschaften  is  one  of  the  famous  novels  in  which 
naturalistic  philosophy  is  applied  to  the  passion  of  love.  On  the  other 
hand,  in  George  Eliot,  a  principal  cause  of  moral  mistake  and  crime  is 
the  weak  indulgence  of  natural  instinct.  Pater's  Marius  the  Epicurean 
is  a  notable  exposition  of  the  refined  animalism  of  ancient  philosophy. 

117.  External   Nature.  —  Some    exhibition    of    natural 
environment   is  essential  to  the   illusion  of   an   expanded 
novel,  for  there  is  no  representative   individual  or  social 


SUBJECT-MATTER  145 

group  whose  life  history  is  not  partially  determined  by 
such  environment  The  human  body  itself  is  an  object  in 
nature,  and  to  a  large  extent  the  human  mind  is  occupied 
in  observing,  utilizing,  and  interpreting  natural  phenomena. 
Language  is  constantly  referring  the  reader,  directly  or 
indirectly,  to  external  nature. 

In  relation  to  man's  moral  life,  nature  may  be  considered 
as  helpful,  hostile,  or  ironically  indifferent.  In  one  of 
Matthew  Arnold's  sonnets,  the  idea  of  a  moral  companion- 
ship with  nature  is  treated  with  scorn  :  — 

"  Man  must  begin,  know  this,  where  Nature  ends ; 
Nature  and  man  can  never  be  fast  friends. 
Fool,  if  thou  canst  not  pass  her,  rest  her  slave." 

To  the  novelist,  as  to  the  lyric  poet,  and  to  the  essayist 
Emerson,  nature  has  often  appeared  as  something  illusive, 
unresponsive,  hindering  rather  than  helping  man's  search 
for  reality  and  truth. 

Important  specific  subjects  in  the  novel  are  climate,  animal  life,  and 
landscape.  The  early  forms  of  romance  had  their  own  types  of  land- 
scape, in  the  main  artificial  and  without  basis  in  careful  observation. 
Artificial  also,  to  a  large  degree,  was  the  eighteenth  century  interest  in 
landscape  gardening ;  represented  in  the  Spectator,  though  this  journal 
gave  some  foretaste  of  the  romantic  return  to  nature.  The  Gothic  and 
the  sentimental  schools  developed  new  phases  of  the  subject.  In  Sense 
and  Sensibility,  Marianne  says  "  admiration  of  landscape  scenery  is 
become  a  mere  jargon,"  and  Edward  adds,  "I  like  a  fine  prospect,  but 
not  on  picturesque  principles.  I  do  not  like  crooked,  twisted,  blasted 
trees.  I  admire  them  much  more  if  they  are  tall,  straight,  and  flourish- 
ing," etc.  (Chapter  XVIII).  This  is  presumably  the  sentiment  of  the 
author.  Mrs.  Radcliffe  was  one  of  the  early  novelists  to  develop  a  treat- 
ment of  landscape  in  detail ;  and  since  Scott  prose  fiction  has  elaborated 
every  phase  of  the  subject,  often  beyond  the  point  of  plot-economy. 

118.  The  Supernatural.  —  In  the  novel,  the  supernatural 
may  be  introduced  in  the  structural  values  of  character, 


146  THE   STUDY   OF  A   NOVEL 

background,  motivation,  or  subject  of  conversation.  It  is 
never  a  main  theme  in  the  realistic  novel. 

The  lighter  phases  of  mythology  may  be  viewed  as  quite 
remote  from  the  serious  consideration  of  theology.  Fairies, 
demons,  ghosts,  are  usually  treated  in  a  fanciful  rather 
than  deeply  imaginative  manner,  in  late  fiction.  The 
Supreme  Being,  whether  conceived  as  a  personal  God,  or 
as  fate,  force,  or  chance,  cannot  be  considered  by  a  true 
artistic  spirit,  except  in  a  reverent  manner. 

The  life  of  man  after  death  is  a  conception  of  deep 
human  interest,  at  least  in  so  far  as  it  affects  the  activities 
and  the  thought  of  this  life,  and  is  therefore  not  alien  to 
the  spirit  of  the  novel. 

The  European  novelist  ought  not  to  complain  of  lack  of 
variety  in  this  subject  of  the  supernatural.  He  is  familiar 
with  the  mythology  of  classical  antiquity ;  he  finds  ample 
treatment  of  Gothic  mythology  in  art ;  he  inherits  the 
ideas  of  Christian  supernaturalism,  and  he  may  easily 
explore  the  kindred  ideas  of  uncivilized  races. 

Classical  and  Gothic  mythology  have  appeared  in  prose  fiction  in 
both  a  serious  and  a  fanciful  treatment,  as  they  did  in  Shakespeare. 
The  modern  novel  has  rarely  if  ever  reembodied  the  primitive  Germanic 
religious  ideas  with  the  majesty  or  dramatic  power  of  the  Wagnerian 
opera.  —  A  curious  tribute  to  the  occasional  practical  atheism  of  the 
novel  is  quoted  from  a  Comtist,  in  reference  to  The  Princess  of  Cleves, 
in  an  introduction  to  that  fiction  by  Anatole  France. 

The  treatment  of  the  supernatural  is  often  entirely 
dramatic,  the  views  belonging  to  the  dramatis  personae  and 
not  to  the  author;  the  virtual  subject  being  therefore  man. 

In  Silas  Marner,  the  theology  of  the  characters  is  essentially  different, 
even  in  terms,  from  that  of  the  novelist.  It  is  only  the  characters  who 
refer  to  the  Supreme  Being  as  God,  or  Providence ;  to  George  Eliot,  the 


SUBJECT-MATTER  147 

idea  is  better  expressed  by  such  phrases  as  The  Invisible,  The  Unseen 
Love,  etc. 

For  a  discussion  of  the  theology  of  modern  English  novelists,  see 
the  volume  by  S.  Law  Wilson. 

119.  General  Philosophy.  —  The  interpretation  in  a  novel 
may  give  a  philosophy  of  separate  subjects — of  society,  his- 
tory, nature,  etc.  — or  it  may  give  a  more  general  view  of  the 
meaning  underlying  all  these  aspects  of  experience.  Such 
interpretation  may  be  the  real  purpose  of  a  novel,  or  it 
may  be  incidental,  perhaps  unconscious.  It  may  be  in 
solution,  completely  embodied  in  the  warp  and  woof  of  the 
illusion,  or  appear  as  outside  exposition,  in  occasional  com- 
ment or  in  extended  generalization.  Consistency  may  per- 
haps be  expected  from  the  author,  but  disagreement  among 
the  dramatis  personae  may  be  a  sign  of  true  dramatic  power 
in  the  writer. 

Masson  writes  :  "  In  short,  the  measure  of  the  value  of 
any  fiction,  ultimately  and  on  the  whole,  is  the  worth  of 
the  speculation,  the  philosophy,  on  which  it  rests,  and  which 
has  entered  into  the  conception  of  it.'7  (Page  33.)  This 
may  seem  to  be  a  characteristic  English  emphasis ;  but  it 
is  in  harmony  with  the  view  of  at  least  one  great  French 
critic.  Edmond  Scherer  says  that  "  philosophy  is  the  real 
final  desideratum  in  a  novel." 

In  practical  analysis,  the  philosophy  of  a  novel  may  be  examined  by 
a  comparison  of  all  the  stated  or  implied  minor  generalizations  ;  or  by 
finding  the  largest  generalizations  and  following  them  out  into  details. 

EXAMPLES    AND    STUDIES 

In  Voltaire1s  Candide,  compare  the  presentation  of  pessimism  by 
persiflage  and  by  serious  argument;  by  concrete  example  and  by 
.speculative  idea ;  negatively  and  positively.  Compare  the  philosophy 
in  general  with  that  of  Rasselas. 


148  THE   STUDY   OF   A  NOVEL 

In  Wilhelm  Meister,  unify  into  a  general  philosophy  the  interpretations 
of  art,  travel,  culture,  education,  love,  and  religion. 

Sense  and  Sensibility.  The  philosophy  is  mainly  social.  It  is  found 
in  solution,  no  single  paragraph  being  entirely  given  to  generalization. 
Compare  and  unify  the  following  views,  and  relate  them  to  similar  utter- 
ances in  the  other  works  of  the  author :  "  Unlike  people  in  general,  she 
proportioned  [her  words]  to  the  number  of  her  ideas  "  ;  —  "  an  apparent 
composure  of  mind,  which  in  being  the  result  ...  of  serious  reflection, 
must  eventually  lead  her  to  contentment  and  cheerfulness  " ;  —  "  almost 
all  labored  under  one  or  other  of  these  disqualifications  for  being  agree- 
able —  want  of  sense,  either  natural  or  improved  —  want  of  elegance  — 
want  of  spirits  —  or  want  of  temper ;  "  —  "  Lucy  does  not  want  sense, 
and  that  is  the  foundation  on  which  everything  good  may  be  built." 

In  Robinson  Crusoe,  there  is  considerable  social  and  religious  philos- 
ophy, in  solution,  in  the  first  two  parts.  Note  the  interpretation  of 
middle-class  social  position,  of  Providence,  reason,  industry,  religious 
toleration,  etc.  Compare  this  with  the  more  expanded  and  direct 
exposition  of  the  third  part. 

In  Ivanhoe,  the  philosophy  is  mainly  historical.  Compare  the  gen- 
eralizations in  the  first  five  paragraphs  ;  in  the  first  paragraphs  of  Chap- 
ter VII ;  in  Chapter  XIV,  on  the  character  of  King  John ;  in  Chapter 
XXIII,  on  the  manners  and  morals  of  the  period. 

In  Silas  Marner,  the  ethical  and  psychological  facts  of  life  are  looked 
at  in  a  large  way.  The  longest  direct  generalization  is  on  religious 
trust.  Note  also  paragraphs  in  Chapters  I,  II,  III,  IX,  and  XVII. 

N/  120.  The  Main  Theme.  —  Some  rhetoricians  have  said 
that  the  central  theme  was  more  obscure  in  narration  than 
in  any  other  type  of  literary  structure.  It  is  often  difficult 
to  give  it  a  clear  statement  in  the  novel^  because  it  is  so 
thoroughly  wrought  into  the  general  fiber  of  the  action 
and  characterization.  It  is  frequently  obscure  in  romance, 
but  generally  more  clear  in  the  short  story.  Sometimes  it 
is  found  in  a  motto,  preface,  moral,  or  epilogue.  The  main 
theme  may  be  more  closely  identified  with  the  plot  or  with 
the  characters,  with  a  single  character  or  a  group.  It  is 
likely  to  be  apparent  at  the  principal  turning-points  of  the 


SUBJECT-MATTER  149 

plot,  especially  at  the  climax  and  catastrophe.  In  some 
works  of  art,  the  central  idea  is  virtually  technical  in  spirit, 
but  in  the  novel  it  is  usually  on  a  broader  basis,  being 
ethical,  social,  historical,  or  psychological  in  spirit.  It  may 
be  identical  with  the  original  germ,  or  define  itself  as  the 
process  of  composition  proceeds. 

A  theme,  like  a  plot,  may  be  stated  in  various  degrees 
of  abstraction ;  and  it  is  usually  helpful  to  consider  it  in 
direct  relation  to  the  individual  work,  and  in  comparison 
with  other  works  in  which  it  is  of  similar  value. 

In  Robinson  Crusoe,  the  main  theme  may  perhaps  be  stated  as  the 
conquest  of  the  individual  over  circumstances,  through  the  power  of 
reason,  patience,  and  reliance  on  Providence. 

In  Soil  und  Haben,  the  theme,  stated  concretely,  is  the  moral  excel- 
lence of  the  German  commercial  character ;  more  abstractly,  the  moral 
excellence  of  German  national  character ;  still  more  abstractly  (perhaps 
beyond  the  conscious  purpose  of  the  author),  the  superiority  of  sane, 
well-regulated  life  over  the  life  of  passion  and  capricious  emotion. 

In  Wilhelm  Meister,  the  education  and  self-culture  of  the  individual, 
through  social  experience  and  reflection,  is  one  conception  of  the  main 
theme.  —  In  Romola,  the  contrast  between  self-indulgence  and  self- 
renunciation,  as  moral  habits,  is  at  least  a  very  important  theme. 


CHAPTER  VIII 
STYLE 

121.  General  Conception.  —  For  present  purposes,  three 
of  the  numerous  shades  in  the  meaning  of  style  may  be 
noted :  — 

(1)  The  whole  causal  relation  of  the  qualities   in  an 
artistic  structure  to  the  mind  of  the  artist  —  the  objective- 
subjective  bond.     It  is  clear  that  in  this  sense  every  work 
of  art  has  style. 

(2)  Adequacy  of  expression.     This  is  substantially  the 
idea  in  Spencer's  principle  of  "  economy,"  and  is  one  com- 
mon conception  of  a  "  good  style."     It  does  not  necessarily 
imply  beauty  or  rarity  of  expression,  for  the  mind  expressed 
may  lack  these  qualities. 

In  this  sense,  style  is  of  high  excellence  in  Boccaccio,  Cervantes, 
Rabelais,  Defoe,  and  Jane  Austen ;  less  successful  in  Scott,  Balzac, 
Tolstoi,  and  Zola.  It  is  often  unattained  in  George  Meredith,  because 
he  fails  to  convey  his  ideas  to  the  average  reader,  or  to  distinguish  the 
language  of  his  characters  from  his  own,  as  he  apparently  attempts 
to  do. 

(3)  Conscious  adaptation  of  means  to  purpose.      This 
conscious  control  of  the  medium  of  expression  may  be 
highly  intellectual,  critical,  associated  with  the  labor  limes, 
or  more   spontaneous.      It   is   most   naturally  and   most 
severely   tested   in  details,   as   commonly  implied  in  the 
phrase,  "a  great  stylist." 

In  this  sense,  Goethe,  Manzoni,  Hugo,  Flaubert,  and  Stevenson  are 
eminent  stylists. 

150 


STYLE  151 

122.  Objective  and  Subjective  Aspects.  —  The  fully  objec- 
tive aspects  of  style  appear  directly  in  the  external  struc- 
ture,  and   are    readily   distinguished    from    the    author's 
intention  and  the  reader's  interpretation. 

The  differences  between  vowel  melody  and  consonantal  friction,  the 
interrogative  and  the  imperative  sentence,  or  iambic  and  anapestic 
rhythm,  are  external,  and  may  be  examined  without  reference  to  their 
shade  of  meaning.  (Compare  the  structural  details  noticed  in  Sections 
8,  9,  19,  23-24,  2,^  passim  in  Chapter  I.)  Only  when  this  meaning  is 
considered,  does  one  pass  into  the  study  of  style,  properly  speaking. 

The  frequency  of  such  words  as  "  fortune,"  "  good-breeding,"  "  gen- 
tleman,1' "  manners,"  etc.,  in  Jane  Austen,  suggests  elegance  as  a  quality 
of  her  own  mind.  Defoe's  itemized  lists  of  articles,  and  his  numerical 
division  of  expository  passages  indicate  concreteness  in  his  observation 
and  thought.  The  elaborate  divisions  of  the  Come'die  Humaine  — 
paragraph,  set  dramatic  speech,  all  kinds  of  document,  part  and  book 
—  are  evidences  of  complexity  in  Balzac's  own  nature. 

(See  the  footnote,  page  24.) 

But  language  is  the  most  subjective  of  all  artistic  medi- 
ums, except  possibly  musical  sound,  and  it  is  convenient 
to  give  a  wider  meaning  to  objectivity.  Whatever  values 
are  determined  by  a  general  social  consent,  as  distinguished 
from  the  individual  interpretation  of  writer  or  reader,  may 
be  considered  as  at  least  semi-objective. 

In  the  sentence,  "  She's  a  very  pretty,  nice  girl,  isn't  she,  Nancy?" 
the  simplicity  is  fully  objective  —  clearly  marked  in  vocabulary  and 
syntax ;  the  degree  of  pathos  depends  on  the  reader's  power  of  memory 
and  imaginative  association,  with  reference  to  the  whole  plot.  In  the 
sentence,  "  All  I  say  is,  it's  a  lovely  carkiss,"  the  humor  in  the  mispro- 
nounced word  and  the  unusual  phrase  appeals  to  the  majority  of 
readers,  as  it  did  to  the  author.  (Examples  from  Silas  Marner, 
Chapters  XX  and  VI.) 

123.  Qualities  of  Style.  —  The  above  analysis  suggests 
that  the  qualities  most  clearly  stylistic  are  such  as  have 
both  objective  and  subjective  significance.     Ductility  can 


152  THE   STUDY   OF  A   NOVEL 

be  predicated  only  of  matter,  timidity,  only  of  the  mind ; 
complexity  and  concreteness  may  appear  both  in  the  mate- 
rial structure  and  in  the  mental  attitude. 

This  distinction  is  blurred  by  the  common  application  to  the  mind, 
in  a  figurative  sense,  of  qualities  such  as  weight,  color,  and  smoothness, 
which  refer  in  a  literal  sense  only  to  matter.  The  analysis  here  in 
question  is  a  practical  one,  without  attention  to  psychological  subtlety. 

For  ordinary  purposes,  any  quality  of  mind  may  be  called  stylistic 
when  it  is  revealed  by  the  objective  structure.  Introspection  is  dis- 
covered in  George  Eliot  by  such  words  as  "  memory,"  "  consciousness," 
"  self-questioning,"  and  "  rumination  "  ;  though  language  itself,  viewed 
as  audible  sound,  is  not  introspective. 

124.  Types  of  Style.  —  A  fairly  determinate  combination 
of   qualities,  characteristic  of   a   certain   source,  kind,  or 
medium  of  expression,  may  be  called  a  type.     Types  may 
be  based  on  forms  of  art  —  e.g.  architectural,  literary;  on 
kinds  of  literature  —  e.g.    novelistic,   epic;    on   rhetorical 
form  —  e.g.  descriptive,  narrative ;  on  schools  or  periods 
in  artistic  history  —  e.g.  pseudo-classical ;  on  nationality, 
race,  or  individuality. 

Style  is  the  immediate  expression  of  an  individual  mind, 
but  the  individual  is  always  modified  by  the  thought  and 
feeling  of  social  groups,  and  is  representative  of  human 
nature  in  general.  Some  critics  incline  to  limit  the  study 
of  style  to  the  first  of  these  values,  but  the  wider  view 
appeals  to  those  interested  in  the  social  meaning  of  art. 

Some  types  of  style  having  particular  association,  in  various  degrees, 
with  the  history  of  fiction,  are  the  Euphuistic,  picaresque,  Rabelaisian, 
heroic,  and  naturalistic.  Such  broad  types  as  the  last,  and  the  senti- 
mental, pastoral,  romantic,  and  realistic,  may  be  studied  with  sole 
reference  to  the  novel,  but  they  are  really  general  aesthetic  types,  and 
are  often  more  profitably  examined  as  such. 

125.  Value  of  Style  in  the  Novel. — Style  in  the  first 
sense  given  in  Section  121  is  worth  careful  study  in  any 


STYLE  153 

great  or  widely  representative  novel;  in  the  other  and 
narrower  meanings,  style  is  a  very  variable  value  in  fic- 
tion. On  the  whole,  the  novel  has  not  been  characterized 
by  such  adequacy  or  conscious  control  in  the  details  of 
expression,  as  the  drama,  epic,  or  short  story.  The  length 
of  the  novel  and  its  amorphous  nature  are  somewhat 
antagonistic  to  perfect,  sustained  correspondence  of  lan- 
guage with  delicate  shades  of  thought  and  feeling.  Such 
intensive  ideals  of  style,  aesthetic  or  psychological,  as  those 
of  Poe  or  Professor  Raleigh,1  require  the  short  story  rather 
than  the  novel  for  satisfactory  embodiment.  The  frequent 
mention  of  the  laborious  apprenticeship  of  Maupassant  and 
the  strenuous  efforts  of  Stevenson,  possibly  indicates  the 
rarity  of  such  stylistic  conscience  in  the  field  of  fiction. 
The  value  of  style  varies  greatly  in  different  national 
literatures,  as  well  as  in  individuals.  In  the  main,  French 
and  Italian  fiction  are  of  more  eminent  excellence,  in  this 
respect,  than  English  or  German. 

The  numerous  inconsistences  in  Cervantes,  Rabelais,  and  Scott  are 
well-known.  If  Robinson  Crusoe  was  really  intended  to  be  allegorical, 
Defoe  has  not  clearly  impressed  this  idea  upon  the  reader  of  the  first 
and  second  parts.  Balzac,  Flaubert,  and  Zola  do  not  adequately  carry 
out  in  practise  their  ideals  of  realism. 

In  longer  works,  a  frequent  cause  of  imperfect  style  is  radical  change 
of  plan  or  extended  interval  during  the  course  of  composition.  Com- 
pare Don  Quixote,  Gil  Bias,  Joseph  Andrews,  Waverley,  and  Wilhelm 
Meister.  Spielhagen  traces  the  tangled  structure  of  Middlemarch 
largely  to  the  change  of  conception  after  the  novel  was  begun,  and 
emphasizes  the  necessity  and  difficulty  of  keeping  a  single  point  of 
view  throughout  a  work.2 

Among  novels  in  which  style  is  of  exceptional  importance  are  Atala, 
.Taras  Bulba,  La  Peau  de  Chagrin,  II  Trionfo  della  Morte.  Perhaps 
d'  Annunzio  is  the  greatest  living  stylist  in  the  domain  of  the  novel. 

1  See  his  monograph  on  Style. 

*  Technik  des  Romans  ;  Der  Held  im  Roman. 


154  THE   STUDY   OF  A  NOVEL 

126.  The  Novelistic  Type. — The  novel  has  always  had 
aesthetic  enemies  who  have  denied  it  any  distinctive  style ; 
and  its  friends  have  not  always  offered  a  spirited  defense. 
For  something  like  a  century,  however,  serious  criticism 
has  given  the  novel  its  own  peculiar  and  respectable  place 
among  literary   types.     According  to  Lanson,  it  became 
a  grand  genre  1  in  the  early  part  of  the  last  century. 

The  novel  is  sometimes  considered  as  essentially  de- 
scriptive, sometimes  as  mainly  narrative,  and  again  as  a 
characteristic  combination  of  descriptive  and  narrative 
styles.  Some  of  the  best  German  and  French  critics 
approach  it  as  a  species  of  the  generic  "  epic  "  type. 

Artand  calls  Ivanhoe  "  la  veritable  e'pope'e  du  moyen  age," 2  and  an 
anonymous  romanticist  adds  that  "since  Homer,  the  epic  has  been 
given  only  three  new  forms,  one  by  Dante,  one  by  Ariosto,  one  by 
Scott."  8  Compare  Spielhagen  :  "  Der  historische  und  der  moderne 
Romane  sind  die  beiden  Erben  des  alten  Epos ;  " 4  other  passages  in 
the  same  work,  and  in  German  aesthetics  and  poetics  generally. 

Many  critics  have  defined  the  novel  by  comparison  and 
contrast  with  the  drama ;  and  others  note  the  frequent 
inclusion  of  the  lyrical  spirit.  (See  the  glossary,  under 
"lyrical.") 

In  a  liberal  interpretation  of  style,  Clarissa  might  be  analyzed  as  an 
example  of  the  dramatic  type ;  I  Promessi  Sposi,  of  the  descriptive ; 
Robinson  Crusoe,  of  the  narrative ;  and  Atala,  of  the  lyrical. 

127.  Novelistic   Qualities.  —  Each   important    kind    of 
novel  has  some  fairly  determinate  qualities  of   its   own  ; 
as  for  example,  elegance  in  the  heroic  romance,  simplesse 
in  pastoral   romance,  weirdness  in  Gothic   romance,  and 
democracy   in   the  picaresque  novel. 

1  See  the  glossary.  2  Maigron,  p.  150.  8  Ibid.,  p.  152. 

4  Technik  des  Romans;  Finder  oder  Erfinder. 


STYLE  155 

In  the  following  sections,  no  attention  can  be  paid  to  these  distinc- 
tions, or  to  the  fascinating  study  of  style  in  the  individual  novel.  The 
aim  is  to  examine  such  qualities  as  are  historically  found  in  the  novel 
as  a  generic  type,  or  are  emphasized  in  important  theories  of  the  novel. 
The  analysis  may  perhaps  be  suggestive  of  further  study  and  more 
satisfactory  statement  of  results. 

128.  Comprehensiveness.  —  According  to  Spielhagen, 
"ist  der  epische  Stoff  unendlich,"1  and  the  novelist 
should  give  the  reader  the  "  moglichst  vollkommene  Ueber- 
sicht  der  Breite  und  Weite  des  Menschenlebens.  "  2  Breadth 
of  view  is  to  be  found  in  the  plot,  characters,  settings,  and 
generalizations.  The  Shakespearian  drama  is  in  some 
respects  not  so  all-inclusive  as  many  of  the  great  novels 
of  Europe. 

Balzac  includes  almost  every  variety  of  document  in  the  Come'die 
Humaine ;  Shakespeare  is  in  the  main  limited  to  the  epistolary  form. 
The  dramatist  gives  a  very  restricted  view  of  Christian  thought,  of 
democratic  ideals,  and  of  the  daily  life  of  the  common  people.  In  the 
last  point,  compare  Fielding,  or  any  picaresque  novel ;  in  the  matter  of 
religion,  compare  Wilhelm  Meister,  Robinson  Crusoe,  ValdeV  La  Fd, 
Quo  Vadis,  or  Callista. 

The  opposite  quality  of  concentration  is  characteristic 
of  the  lyric,  and,  to  a  great  extent,  of  the  short  story.  One 
might  turn  to  the  latter  as  Wordsworth  turned  to  the 
sonnet,  weary  of  the  "  weight  of  too  much  liberty ; "  but 
the  amorphous  freedom  of  the  novel,  though  sometimes 
offensive  to  creative  or  critical  ideals,  has,  for  centuries, 
proved  attractive  to  many  minds  desiring  an  expansive 
mental  outlook. 

The  novelist  himself  is  usually  extremely  broad  in 
interests,  ideals,  and  experience.  As  a  class,  novelists 
have  been  men  of  the  world,  travelers,  wide  readers  and 

1  Technik  des  Romans;   Das  Gebiet  des  Romans. 

2  Ibid. ;  Novelle  oder  Roman.    Compare  his  frequent  use  of  "  Totalitat." 


156  THE   STUDY   OF   A   NOVEL 

students,  philosophers  in  spirit  if  not  in  accomplishment. 
To  no  small  extent  the  novel  has  resisted  the  modern 
tendency  toward  specialization  in  science,  art,  and  life 
itself.  The  pure  specialist  would  not  and  could  not  write 
a  great  representative  novel. 

Balzac  was  interested  in  law,  medicine,  theology,  music,  journalism, 
and  politics.  Examine  the  outer  and  inner  history  of  Cervantes,  Rabe- 
lais, Fielding,  Thackeray,  and  Tolstoi.  Goethe  is  one  of  the  most  com- 
prehensive minds  of  his  century,  and  his  novels  are  a  logical  part  of 
his  self-expression.  The  women  novelists  of  eminence — Maria  Edge- 
worth,  Madame  de  Stae'l,  George  Sand,  George  Eliot  —  have  been  among 
the  most  advanced  minds  of  their  time. 

In  breadth  of  knowledge  and  speculation,  the  philoso- 
pher doubtless  bears  away  the  palm  from  the  novelist. 
Bacon,  Humboldt,  Lotze,  Spencer,  have  no  rivals  in  fiction, 
so  measured.  Large  knowledge  of  mathematics  or  of 
natural  science  is  rare  in  the  novelists.  On  the  other 
hand,  the  novelist  may  often  claim  a  wider  experience 
in  personal  emotion  and  passion,  a  broader  domain  of 
natural  and  social  imagery;  and  his  world  is  always  a 
combination  of  observed  and  created  data. 

129.  Objectivity.  —  All  style  has  a  certain  objectivity,  as 
noted  in  Section  122,  but  in  a  special  sense  this  quality 
is  characteristic  of  the  "  epic "  imagination,  and  of  an 
ideal  of  the  novel  which  influences  much  theory  and 
practise. 

The  social  sense  in  the  novelist  and  the  social  element 
in  the  novel  itself,  are  related  to  this  quality.  Compara- 
tively few  great  novels  were  written  from  purely  lyrical 
impulse  —  from  the  mere  craving  for  self-expression.  The 
sense  of  an  audience  has  been  strong  in  the  history  of 
fiction,  whether  directly  expressed,  as  in  the  phrase  "  gen- 
tle reader"  (centuries  old),  or  implied  in  choice  of  subject 


STYLE  157 

and  treatment.  In  all  novels  the  influence  of  the  social 
consciousness,  in  respect  to  time,  place,  character,  man- 
ners, and  ideas,  is  incalculable.  In  personal  life,  the 
representative  novelist  has  been  a  considerable  figure  in 
society. 

Observation  is  another  phase  of  the  objective  quality, 
as  it  appears  in  the  novel.  Realism  is  concerned,  for  re- 
ality is  distinguished  from  unreality  largely  by  the  test  of 
objective  value. 

A  sketch  of  the  history  of  this  quality  in  English  fiction 
might  be  interesting.  The  following  are  fragmentary 
data.  Impersonality  is  the  dominant  note  from  Morte 
d' Arthur,  with  its  epic  tradition,  to  the  middle  of  the 
eighteenth  century.  In  neither  Euphues,  Rosalind,  nor 
Jack  Wilton  does  the  author  appear  in  propria  persona. 
Defoe  has  a  remarkable  power  of  close  observation  and 
description,  and  of  "  self -estrangement "  in  narrative.  Few 
of  the  experiences  recorded  in  Colonel  Jacque,  The  Plague 
Year,  or  Robinson  Crusoe  were  part  of  his  personal  his- 
tory. Richardson  chose  a  form  which  naturally  required 
dramatic  objectivity.  Jane  Austen  is  in  many  ways  more 
impersonal  than  Shakespeare,  with  whom  she  has  been 
compared.  (As  interesting  exceptions,  compare  the  transi- 
tional sentence,  "/  come  now,"  etc.,  in  Chapter  XXXVI 
of  Sense  and  Sensibility,  with  the  example  noted  in 
Section  56.) 

The  influence  of  Fielding,  Smollett,  and  Sterne  was 
largely  in  the  opposite  direction.  The  romanticists  are 
habitually  lyrical,  coloring  their  whole  view  of  life  by 
personal  experience,  and  the  moods  of  their  individual 
temperaments.  The  realistic  reaction  has  produced  a 
new  phase  of  objectivity,  more  determined  and  conscious 
than  any  that  preceded. 


158  THE   STUDY   OF   A   NOVEL 

Spielhagen  lays  frequent  stress  upon  objectivity  as  an  ideal.  Com- 
pare the  essay  on  Objektivitat  im  Roman  (Vermischte  Schriften),  and 
numerous  passages  in  the  Technik  des  Romans.  —  "  Das  Gesetz  der 
Objektivitat.  Sie  ist  fur  ihn  [the  novelist]  das  strikteste  Gesetz."  —  It 
is  not  so  important  for  the  novelist,  "  dass  die  Welt  ihn  begreift,  als 
dass  er  die  Welt  begreift."  —  A  consistent  objectivity  is  not  easily  at- 
tained, in  our  introspective  age,  but  the  artist  "  strebt  durchaus  nach 
Totalitat  des  Weltbildes."  —  It  is  an  insult  to  the  reader  to  explain  the 
characters  to  him.  (Compare  Section  100.) 

Verga  is  perhaps  the  greatest  recent  representative  of  realistic  theory 
and  practise  in  Italy.  Note  the  remarkable  third  paragraph  of  L  'Amante 
di  Gramigna:  "Intanto  io  credo  che  il  trionfo  del  romanzo  ...  si 
raggiungera  allorche  I1  affinita  e  la  coesione  di  ogni  sua  parte  sara  cosi 
completa  che  il  processo  della  creazione  rimarra  un  mistero,  come  lo 
svolgersi  delle  passioni  umane ;  e  che  1'  armonia  delle  sue  forme  sara 
cosi  perfetta,  la  sincerita  della  sua  realta  cosi  evidente,  il  suo  modo  e 
la  sua  ragione  di  essere  cosi  necessarie,  che  la  mano  dell'  artista  rimarra 
assolutamente  invisible,  e  il  romanzo  avra  Timpronta  delP  avvenimento 
reale,  e  I1  opera  d'  arte  sembrera  essersi  fatta  da  s2,  aver  maturate  ed 
esser  s6rta  spontanea  come  un  fatto  naturale,  senza  serbare  alcun  punto 
di  contatto  col  suo  autore,"  etc. 

The  above  doctrine  comes  into  apparent  conflict  with 
impressionistic  theory,  represented  in  Henry  James'  defini- 
tion of  the  novel  as  "  a  personal  impression  of  life ;  "  1  but 
even  in  this  conception  it  is  an  impression  of  life  that  is 
desired,  not  an  introspective  view  of  the  world  within  the 
artist's  mind. 

130.  Concreteness The  novelist  aims  to  produce  an 

illusion  of  life  by  means  of  "solidity  of  specification"2 
in  vocabulary,  characters,  dialogue,  settings,  events,  and 
ideas.  When  he  explores  the  territory  of  modern  sociol- 
ogy, psychology,  or  history,  he  finds  himself  in  a  region 
of  almost  oppressive  detail.  It  is  partly  this  attention  to 
minute  detail  that  suggests  the  satirical  view  of  the  novel 

1  Art  of  Fiction.  2  Ibid. 


STYLE  159 

as  essentially  feminine,  or,  as  one  critic  states  it,  "  gossip 
ethcrealized."1 

The  opposite  quality  of  vagueness  may  be  studied  in  the 
ballad  and  the  lyric.  Classicism,  with  its  preference  for 
type  over  individual,  has  never  aided  much  in  the  develop- 
ment of  the  novel.  A  mind  primarily  interested  in  the 
abstract  values  of  experience  would  not  enter  the  field  of 
the  novel  with  zest,  or  much  probability  of  success.  Emer- 
son moves  habitually  from  the  concrete  toward  the  abstract. 
Bacon,  in  the  Wisdom  of  the  Ancients,  changes  semi- 
novelistic  material  into  anti-novelistic.  Balzac  "bodies 
forth "  his  general  ideas  of  life  in  what  is  perhaps  the 
greatest  exhibition  of  individualized  detail  in  the  history 
of  art.  (The  detail  of  a  great  cathedral  is  immeasurable, 
but  much  of  it  is  typical.) 

In  vocabulary,  an  interesting  comparison  may  be  made  between 
Bacon's  essay  on  Youth  and  Age,  and  the  treatment  of  the  same  theme 
in  Silas  Marner. 

Bacon  has  many  such  expressions  as  settled  business ;  conduct  and 
manage  of  actions;  consideration  of  means  and  degrees;  powers  of 
understanding;  virtues  of  the  will  and  affections,  etc. 

In  Silas  Marner  there  are  more  than  a  score  of  expressions  referring 
to  Eppie  in  which  the  adjectives  "little,"  "small,"  or  "  tiny"  are  used 
—  little  one;  like  a  small  mouse;  little  naked  foot;  deep  little  puss; 
etc.  Note  also  the  concreteness  of  many  other  phrases  :  a  small 
boy  without  shoes  or  stockings ;  blond  dimpled  girl  of  eighteen ;  face 
now  bordered  by  gray  hairs  ;  a  voice  that  quavered  a  good  deal ;  feeble 
old  man  of  fourscore  and  six  ;  simple  old  fellow,  etc. 

In  characterization,  compare  the  heroine  of  an  Elizabethan  sonnet 
sequence  with  any  novelistic  heroine.  In  Astrophel  and  Stella,  Stella 
is  not  directly  quoted  at  all,  is  described  almost  entirely  in  conven- 
tional manner,  and  appears  in  only  some  half-dozen  specific  incidents 
or  settings. 

Spielhagen  expresses  the  relation  between  comprehensiveness  and 

1  Dallas :  The  Gay  Science. 


160  THE   STUDY   OF   A  NOVEL 

concreteness  as  a  "  Widerspruch  zwischen  dem  epischen  Mittel  der 
konkreten  Darstellung  und  dem  unausrottbaren  Zuge  der  epischen 
Phantasie  in  das  ...  Grenzenlose." 1 

131.  Complexity.  —  The  novelist  cannot  lose  himself 
entirely  in  the  outer  world,  like  the  scientist,  or  in  the 
realm  of  personal  feeling,  like  the  lyric  poet.  He  must 
combine  these  two  regions  of  experience  as  best  he  may. 
In  novelistic  form,  the  problem  of  synchronization,  the 
frequent  changes  from  dramatic  to  non-dramatic  structure, 
and  from  the  specific  to  the  general,  are  among  the  com- 
plicating elements.  The  hero  of  a  representative  novel  is 
more  complex  in  character  and  experience  than  the  average 
hero  of  ballad  or  epic.  In  historical  fiction,  the  twofold 
consciousness  —  of  the  present  and  the  past — is  often 
highly  complex.  Other  aspects  of  this  quality  have  been 
suggested  in  the  preceding  chapters. 

The  great  novelists  have  generally  been  individuals  of 
pronounced  complexity,  in  nature  or  experience.  This 
seems  particularly  true  of  some  of  the  Russian  novelists  — 
Gogol,  Dostoyevsky,  and  Tolstoi  among  them.  The  man 
of  entirely  "simple  life"  may  possibly  be  a  reader  of 
novels,  but  it  is  difficult  to  imagine  him  as  an  habitual 
novel-writer. 

The  novel  has  flourished  most  in  periods  of  complex 
social  life,  when  antagonistic  currents  of  thought  were 
meeting,  giving  rise  to  social,  ethical,  and  aesthetic  prob- 
lems. The  origin  of  the  form  was  in  the  sophism  of 
Greek  decadence ;  its  second  birth  coincides  with  the 
conflict  of  Renaissance  and  medieval  spirit;  its  develop- 
ment in  the  eighteenth  century  is  related  to  the  battles 
of  pseudo-classicism  with  romanticism,  scepticism  with  a 

1  Technik  des  Romans;   Der  Held  im  Roman. 


STYLE  l6l 

revival  of  faith,  and  monarchism  with  democracy;  its 
full  fruition  is  associated  with  the  complicated  mental  and 
social  life  of  our  own  era.  In  fact,  the  specific  function 
of  the  novel,  according  to  many  critics,  is  the  portrayal, 
possibly  to  some  extent  the  solution,  of  the  complexity  of 
modern  experience,  material  and  moral. 


g*  has  been  characteristic  of  more  than  one  school  of 
novelists,  but  rarely  if  ever  a  true  simplicity  Pastoralism,  as  before 
suggested,  offers  a  good  example  of  this  distinction. 

132.  Secularity.  —  If  one  considers  the  religious  ten- 
dency in  its  extreme  form  of  asceticism,  the  secularity  of 
the  novel  is  readily  perceived.  The  priest  is  an  important 
character  in  fictions  as  various  as  Robinson  Crusoe,  Mrs. 
Radcliffe's  Italian,  Romola,  Barchester  Towers,  and  Quo 
Vadis,  but  the  authors'  interest  in  him  is  not  mainly 
religious,  and  he  appears  in  a  secular  environment.  The 
language  of  intensely  religious  life  may  be  introduced,  but 
it  does  not  give  dominant  tone  to  any  great  novel.  Even 
in  the  "religious  novel,"  the  secularity  becomes  clearly 
defined  if  comparison  is  made  with  such  works  as  the 
Apocalypse,  Saint  Augustine's  Confessions,  or  the  Imita- 
tion of  Christ.  The  Biblical  fictions  of  Ruth  and  Esther 
are  surprisingly  non-religious  in  tone  ;  the  latter,  so  far  as 
direct  evidence  is  given,  being  practically  atheistic. 

Both  the  cosmopolitanism  and  the  nationalism  of  the 
novel  are  quite  independent  of  ecclesiastical  interest. 
The  catholicity  of  fiction  is  that  of  general  culture,  or  of 
modern  democracy;  its  patriotism  is  political,  historical, 
social,  or  aesthetic,  rarely  religious  in  any  definite  sense. 
When  the  novelist  has  given  an  extended  consideration  to 
the  church,  he  has  usually  expressed  little  satisfaction  in 

1  See  Matthew  Arnold:  On  Translating  Homer;  Last  Words. 


162  THE   STUDY   OF  A   NOVEL 

its  concrete  conditions,  and  has  often  been  antagonistic  to 
its  fundamental  principles  and  purposes.  This  statement 
does  not  imply  that  the  novel  is  anti-religious,  though  this 
is  of  course  true  in  isolated  cases. 

The  general  secularity  of  the  great  novelists  as  individuals  and  of 
the  chief  periods  of  novelistic  activity  requires  no  discussion.  Spiel- 
hagen  gives  a  vigorous  summary  of  the  whole  matter:  the  novelist 
occupies  a  position  "auf  dieser  unserer  Erde,  der  festgegrlindeten, 
dauernden,  die  nicht  eine  Vorstufe  des  Himmels  odcr  der  Holle  ist, 
sondern  der  Grund  und  Urgrund,  aus  dem  unsere  Leiden  und  Freuden 
quellen,  das  Rhodus,  auf  dem  wir  tanzen  miissen,  es  tanze  sich  gut  oder 
schlecht." * 

133.  Humor. — This  quality  is  perhaps  logically  de- 
duced from  objectivity  plus  comprehensiveness.  The 
tragic  depends  largely  on  concentrated  intensity,  and 
subjective  attitude  toward  life.  It  is  hardly  possible  for 
a  normal  mind  to  conceive  the  general  course  of  society 
as  entirely  tragicparicl  personal  tragedy  becomes  less  em- 
phatic by  contact  with  broad  impersonal  interests.  The 
existence  of  morbidly  tragic  fiction  may  be  explained  by 
temporary  social  or  individual  conditions,  rather  than  the 
essential  nature  of  the  novel.  Many  of  the  great  novelists 
have  been  masters  of  humor,  and  few  of  them  have  lacked 
a  decided  alloy  of  the  quality. 

In  the  novelistic  structure,  the  looseness  of  form,  the 
trivial  details  in  dialogue,  settings,  and  incident,  the  great 
variety  of  interests  and  of  aesthetic  values,  are  causes  or 
results  of  humor.  A  sharp  separation  of  the  tragic  and 
comic  is  less  frequent  than  in  eighteenth  century  drama, 
and  the  interweaving  of  the  two  is  generally  less  formal 
than  in  Shakespearian  drama.  Humor  is  often  essential 
to  the  production  of  realistic  illusion,  and  an  important 

1  Technik  des  Romans;   DasGebiet  des  Romans. 


STYLE  163 

agent  in  unifying  the  entire  plan  of  a  novel.  It  may 
appear  in  the  characters  themselves ;  or,  as  in  Fielding 
and  Thackeray,  largely  in  the  author's  personal  attitude. 

The  modes  of  humor,  in  a  generic  sense,  may  vary  from 
caricature,  through  wit,  satire,  and  irony,  to  a  general 
sanity  of  view.  Its  relations  to  pathos  have  been  fre- 
quently studied  in  criticism. 

Caricature  is  common  in  Smollett  and  his  disciple  Dickens ;  wit  is 
characteristic  of  Lyly  and  George  Meredith ;  satire,  of  a  savage  type  at 
times,  may  be  studied  in  Swift  and  Gogol;  irony  is  characteristic  of 
Fielding,  Jane  Austen,  and  Thackeray;  sanity  of  view  is  well  repre- 
sented in  Trollope  and  Howells,  among  the  realists,  and  in  Scott,  among 
the  romanticists.  The  humor  that  is  akin  to  pathos  is  familiar  in  Cer- 
vantes, Sterne,  and  Goldsmith. 

vi34.  Ideality. — All  artistic  narrative  must  be  imagina- 
tive to  an  appreciable  degree,  but  the  novel  is  ideal 
primarily  because  it  is  fictitious  narrative.  'Pure  observa- 
tion or  logical  induction  from  observation  could  never 
produce  any  novel :  there  must  be  strong  persistent 
momentum  toward  the  creation  of  character  and  incident 
in  order  to  fashion  a  worthy  novel.  Genius  is  the  first 
divinity  in  Fielding's  invocation.  (Tom  Jones  ;  XIII,  i.) 

,On  the  other  hand,  even  in  the  wildest  romance,  the 
foundations  are  in  reality,  and  the  relations  of  the  imagi- 
native to  the  real  offer  a  fascinating  study  in  every  fiction. 
Idealization  assumes  many  forms  —  selection  or  re-combi- 
nation of  real  data ;  creation  of  ideal  individuals  modeled 
upon  real  types ;  allegory,  symbolism,  etc.  Ideality  may 
be  studied  in  every  element  of  the  novel,  from  the  single 
effect  to  the  plan  as  a  whole.  Perhaps  the  plot  is  the 
most  satisfactory  basis  for  a  single  general  test  of  the 
imaginative  power.  (Compare  Section  43.) 


1 64  THE   STUDY   OF  A  NOVEL 

In  Silas  Marner,  the  coming  of  Eppie  is  a  more  imaginative  type  of 
incident  than  the  conversation  at  the  Rainbow.  Probably  nowhere 
else  in  fiction,  and  so  far  as  the  author  knew,  never  in  real  experience, 
had  a  waif  child  come  from  its  dead  mother  to  a  lonely  workman.  A 
group  of  country  laborers  conversing  at  the  village  inn,  on  the  contrary, 
is  a  common  scene  in  life  and  in  art.  Of  course  this  episode  is  highly 
imaginative  in  details  of  individual  character  and  speech. 

In  Robinson  Crusoe,  the  footprint  on  the  sand  is  probably  a  unique 
single  eifect ;  and  the  detailed  picture  of  Robinson's  homemaking  is 
remote  from  anything  Defoe  had  observed  or  read.  The  general  con- 
ception of  a  man  left  alone  for  years  on  an  island  far  from  civilization 
was  given  to  Defoe  by  another  writer. 

In  Ivanhoe,  the  tournament,  the  castle  siege,  and  the  life  of  Robin 
Hood's  band,  in  their  general  idea,  are  not  proof  of  great  imagination 
in  the  author.  Of  the  visit  of  Richard  to  Friar  Tuck,  Scott  himself 
says,  "  The  general  tone  of  the  story  belongs  to  all  ranks  and  all  coun- 
tries "  ; *  and  he  refers  to  his  own  particular  model. 

The  distinction  between  imagination  and  fancy  was 
elaborated  by  Coleridge  and  his  contemporaries.2  Of  the 
two,  imagination  is  the  main  expressive  quality  in  all  great 
novels,  but  the  fanciful  may  serve  as  a  decorative  element, 
and  add  much  to  the  total  interest. 

In  Silas  Marner,  the  description  of  Eppie's  wedding  dress,  the  picture 
of  Nancy  on  horseback,  and  the  dialogic  form  of  Godfrey's  argument 
with  Anxiety  might  be  called  fanciful.  There  is  comparatively  little 
fancy  in  Jane  Austen,  but  much  in  The  Castle  of  Otranto.  The  charac- 
ters of  The  Gold-bug  are  mainly  imaginative,  but  some  of  the  incidents 
are  fanciful.  To  many  readers,  much  of  the  figurative  language  of 
George  Meredith  shows  the  caprice  of  pure  fancy. 

135.  Force. — Objectively,  this  quality  may  appear  in 
nature,  man,  or  the  supernatural ;  revealing  itself  either  in 
activity  or  in  endurance.  Respecting  rhetorical  form,  it  is 
apparent  in  rapidity  of  narration,  vigor  of  description,  and 

1  Introduction  of  1830. 

a  See  Professor  Cook's  edition  of  Leigh  Hunt's  What  is  Poetry  ? 


STYLE  165 

intensity  of  lyrical  feeling.  In  spite  of  Goethe's  theory 
of  a  passive  hero  for  the  novel  (see  Section  82),  there 
are  many  examples  of  notable  activity.  The  actions  of  a 
dramatic  hero  may  reveal  a  greater  intensity,  but  range 
and  duration  of  achievement  are  other  elements  to  be 
examined. 

Hamlet  breaks  a  woman's  heart,  awes  his  mother,  escapes  from 
pirates,  and  kills  his  enemies.  Robinson  Crusoe  makes  a  fortune, 
destroys  wild  beasts,  domesticates  others,  forms  many  new  acquaint- 
ances, travels  in  three  continents,  founds  a  miniature  state,  converts 
savages,  and  saves  his  own  soul.  He  is  in  most  respects  much  more 
a  master  of  circumstances  than  Hamlet,  Macbeth,  or  Othello. 

In  the  novelist  himself,  force  is  necessary  for  the  large 
plan  of  a  work,  and  still  more  for  the  laborious  execution. 
A  weak  or  impatient  mind  could  not  complete  a  long  and 
complicated  novel ;  much  less  such  extended  series  as  the 
Waverley  Novels  or  the  Comddie  Humaine.  In  many 
novelists  moral  force  appears  also  in  antagonism  to  social 
evils  and  in  ideals  of  social  reform,  or  in  earnest  devotion 
to  high  conceptions  of  art. 

136.  Other  Qualities.  —  Many  other  qualities  may  be 
desirable  in  the  novel  —  for  example,  elegance  and  clear- 
ness—  without  being  essential  to  its  type.  Figures  of 
speech  may  be  studied,  as  in  other  forms  of  literature,  but 
they  seem  to  have  less  characteristic  significance  for  the 
novel  than  for  the  epic  and  lyric. 

In  all  dramatic  structure,  propriety  is  obviously  an  essen- 
tial quality.  Comment  on  its  violation,  in  both  epistolary 
and  dialogic  form,  has  been  previously  given. 


CHAPTER   IX 
THE  PROCESS   OF  COMPOSITION 

137.  Value  of  the  Study.  —  Some  critics  give  little  atten- 
tion to  the  process   by  which  a  work  of   art  comes  into 
existence  ;  others  consider  this  one  of  the  most  important 
matters  in  the  study  of  an  art,  even  for  those  who  do  not 
practise  it.    As  a  typical  process,  the  composition  of  novels 
throws  light  on  the  general  nature  of  artistic  creation,  and 
is  a  fascinating  phase  of  the   imaginative   effort   of   the 
mind,  in  its  entirety.     In  an  individual  novel,  many  struc- 
tural details  cannot  be  understood  fully,  and  the  examina 
tion  of  style  cannot  be  satisfactory,  without  some  knowledge 
of  the  evolution  of  that  particular  novel. 

Critics  who  are  also  novelists  —  Scott,  Spielhagen,1  an<i 
Zola,  for  example  —  and  all  critics  with  deep  psychologi- 
cal interest  naturally  incline  to  emphasize  the  creative 
process. 

138.  The  Data  for  Study.  —  External    data  are  to  be 
found  in  prefaces,  letters,  and  other  biographical  and  auto- 
biographical records.     The   internal   data   are  often   less 
tangible,  and  close  scrutiny  may  be  required  before  a  true 
interpretation  can  be  given.      Evidences  of  alteration  of 
plan,  rapid  or  labored  writing,  inspiration  or  fatigue,  and 
detailed  revision,  however,  are  sometimes  quite  apparent. 

1  See  his  essay,  Finder  oder  Erfinder,  in  the  Technik  des  Romans.  This 
essay  suggests  that  aesthetics  has  not  given  sufficient  attention  to  the  process 
of  composition;  and  it  discusses  several  of  the  topics  noticed  in  the  present 
chapter. 

1 66 


THE   PROCESS   OF  COMPOSITION  167 

For  a  thorough  study,  one  would  naturally  select  a  novel 
that  represents  an  extended  process,  of  which  a  fairly  full 
history  is  accessible.  For  practical  method,  the  student 
may  examine  the  internal  evidence,  and  then  compare  it 
with  the  external,  or  vice  versa.  He  may  follow,  so  far  as 
possible,  the  actual  process  of  the  author,  or  endeavor  to 
trace  the  evolution  of  the  novel  backward  from  the  com- 
pleted form  to  the  original  starting-point. 

Many  novelists,  especially  in  recent  years,  have  given  the  student 
confidential  knowledge  of  their  methods.  Much  valuable  material  is 
to  be  found  in  the  autobiographical  writings  of  Goethe,  Scott,  George 
Eliot,  Trollope,  and  Stevenson.  See  also  the  bibliography,  under 
Besant,  Cody,  Henry  James,  Frank  Norris,  and  W.  E.  Norris. 

139.  The  Germ  of  the  Work.  — The  original  conception 
of  a  novel  may  be  small  or  large,  vague  or  definite,  subjec- 
tive or  objective.  It  may  be  still  dominant  in  the  com- 
pleted work ;  but  the  process  of  composition  is  so  complex 
that  the  first  idea  is  often  greatly  transformed,  and  scarcely 
discoverable  by  internal  evidence.  It  may  be  possible  to 
state  clearly  whether  the  novel  began  with  character,  set- 
ting, incident,  or  theme.  The  "  plot-germ,"  in  a  technical 
sense,  is  not  necessarily  the  original  point  in  the  design  as 
a  whole.  Again,  the  first  impulse  may  be  awakened  by 
literature,  personal  experience,  present  or  past,  or  by 
observation. 

In  the  novel,  as  contrasted  with  the  short  story  and 
particularly  with  the  lyric,  the  typical  origin  would  seem 
to  be  in  some  real  sense,  objective.  A  pure  lyric  often 
originates  in  a  vague  subjective  mood,  emotional  or  even 
sensational  —  according  to  Wordsworthian  formula,  in  the 
"  spontaneous  overflow  of  powerful  feelings."  The  ideal 
origin  of  a  song  is  perhaps  a  mood  of  purely  rhythmical 


1 68  THE   STUDY   OF   A  NOVEL 

impulse,  without  definite  content  of  any  kind.  Some 
weight  of  intellectual  substance  and  some  outline  of  con- 
scious design  generally  accompany  the  first  conception  of 
a  novel.  The  romance  may  often  resemble  the  lyric. 

Theory  and  practise  do  not  always  agree,  but  both 
should  be  studied.  Brunetiere1  believes  that  a  novel 
should  begin  from  an  insistent  internal  idea,  and  the 
materials  in  which  to  embody  the  idea  should  be  found 
later.  In  more  detail,  he  gives  three  desirable  origins  for 
a  novel  —  a  story  to  tell ;  a  character  seen ;  a  psychologi- 
cal analysis.2  Poe's  idea  that  a  composition  should  origi- 
nate in  the  catastrophe  may  doubtless  be  exemplified 
from  the  novel,  but  seems  more  generally  applicable  to 
the  short  story.  (Compare  Section  80.)  The  germinal 
idea  of  a  sonnet  is  often  found  in  the  last  lines. 

The  origin  of  Waverley  is  given  by  Scott,  in  the  preface  of  1829: 
"My  early  recollections  of  the  Highland  scenery  and  customs  made  so 
favorable  an  impression  in  the  .  .  .  i  Lady  of  the  Lake,'  that  I  was  in- 
duced to  attempt  something  of  the  same  kind  in  prose.  I  was  acquainted 
with  many  of  the  old  warriors  of  1745  and  it  occurred  to  me  that  the 
ancient  traditions  and  high  spirit  of  a  people,  who,  living  in  a  civilized 
age  and  country,  retained  so  strong  a  tincture  of  manners  belonging  to 
an  early  period  of  society,  would  afford  a  subject  favorable  for  romance." 
The  origin  of  many  of  the  other  Waverley  Novels  is  given  in  Scott's 
various  introductory  comments. 

George  Eliot  gives  the  origin  of  Silas  Marner  in  a  letter  to  Black- 
wood,  February  24,  1861  :  "It  came  to  me  quite  suddenly  as  a  sort  of 
legendary  tale,  suggested  by  my  recollection  of  having  once,  in  early 
childhood,  seen  a  linen-weaver  with  a  bag  on  his  back."  This  seems 
like  a  lyrical  germ,  and  it  is  interesting  to  note  the  author's  tendency 
toward  a  metrical  version  of  the  story.  The  germ  of  Adam  Bede  is  given 
in  the  journal  entry  for  November  16,  1858.  Romola  originated  in  the 
visit  to  Florence,  in  1860.  (For  the  history  of  these  and  other  novels 
see  Cross'  Life.) 

1  Roman  Naturaliste,  p.  122.  x  Ibid.,  p.  115. 


THE  PROCESS   OF  COMPOSITION  169 

Fielding  began  Joseph  Andrews  as  a  parody  on  Pamela.  Serious  or 
satirical  imitation  of  other  fictions  is  a  typical  origin  for  the  novel.  — 
Pepita  Jimenez  was  suggested  by  a  reading  of  the  Spanish  mystics  of 
the  seventeenth  century.  —  The  Castle  of  Otranto  originated  in  a  dream. 
—  Frankenstein  was  a  deliberately  planned  ghost  story,  due  to  a  social 
"  group-impulse.11 —  Werthermzy  be  considered  as  originally  a  kind  of 
lyrical  confession.  —  D'Azeglio's  Ettorre  Fieramosca  was  suggested  from 
a  painting  by  the  author.  Compare  some  of  the  poems  of  D.  G.  Ros- 
setti.  —  The  practical  impulse  which  produced  Rasselas  was  Johnson's 
purpose  to  pay  his  mother's  debts  and  funeral  expenses. 

140.  The  Plan.  —  The  completed  plan  of  a  novel  in- 
cludes all  the  relations  of  dramatis  persona?,  plot,  settings, 
and  subject-matter,  the  shaping  of  the  language,  and  the 
method  of  external  division.  For  a  lyric,  the  entire  plan 
may  spring  into  being  almost  instantaneously.  After  some 
practise  in  sonnet-writing,  the  outline  of  a  whole  sonnet, 
and  a  distinct  thought,  image,  or  shade  of  feeling  for  each 
structural  division,  may  appear  together.  In  the  novel, 
this  is  practically  impossible.  While  a  general  plan  for 
the  whole  work  may  often  be  coincident  with  the  germinal 
idea,  many  of  the  details  must  wait  until  the  actual  process 
of  execution  has  determined  them.  Nor  is  it  probable  that 
many  novelists  have  made  out  even  a  complete  general  plan 
before  beginning  to  write,  as  Rossetti  is  said  to  have  done, 
in  prose,  for  the  House  of  Life.1  Often  the  first  general 
design  undergoes  great  changes  after  the  novel  is  partly 
written. 

Scott's  introductory  matter  furnishes  many  examples  of  general 
design.  He  seems  to  have  had  a  fairly  definite  plan  for  most  of  the 
single  novels,  and  for  small  groups,  but  never  a  completely  unifying 
plan  for  the  Waverley  Novels  as  a  series.  The  general  design  of  The 
Monastery  was  "  to  conjoin  two  characters  in  that  bustling  and  con- 
tentious age,  who,  thrown  into  situations  which  gave  them  different 

1  Spielhagen  notices  this  matter  ;  Technik  des  Romans,  p.  30. 


170  THE   STUDY   OF   A   NOVEL 

views  on  the  subject  of  the  Reformation,  should,  with  tihe  same  sincer- 
ity and  purity  of  intention,  dedicate.dhemselves,  the  one  to  the  support 
of  the  sinking  fabric  of  the  Catholic  Church,  the  other  to  the  establish- 
ment of  the  Reformed  doctrines."  |(Introduction  of  1830.)  This  ele- 
ment of  conscious  contrast  is  conspicuous  in  Scott's  original  plans.  (For 
alteration  of  first  designs,  see  Introductions  to  Guy  Mannering,  1829, 
and  Redgauntlet,  1832.) 

George  Eliot  first  thought  of  making  Adam  Bede  one  of  the  Scenes 
of  Clerical  Life.  She  afterwards  "began  to  think  of  blending  this 
[story  of  the  executed  woman]  and  some  other  recollections  of  my  aunt 
in  one  story,  with  some  points  in  my  father's  early  life  and  character. 
The  problem  of  construction  that  remained  was  to  make  the  unhappy 
girl  one  of  the  chief  dramatis  personae,  and  ;connect  her  with  the  hero 
.  .  .  the  scene  in  the  prison  being,  of  course,  the  climax  towards  which 
I  worked."  Dorothy  Brooke  was  the  original  heroine  of  Middlemarch, 
which  was  first  called  "  Miss  Brooke."  The  Mill  on  the  Floss  began 
publication  as  "  Sister  Maggie." 

One  of  the  largest  designs  in  the  history  of  fiction  is  found  in  the 
Comedie  Humaine.  An  extended  exposition  of  it  is  given  in  the  preface 
to  the  Peau  de  Chagrin,  1842. 

The  general  plan  of  Pepita  Jimenez  was  a  "  representation  of  this 
divine  ardor  [religious  mysticism]  brought  face  to  face  with  an  earthly 
love  and  worsted  by  it."  (See  Gosse's  introduction  to  English  trans- 
lation.) So  stated,  the  design  is  not  an  uncommon  one.  —  The  original 
plan  which  resulted  in  Taras  Bulba  was  to  write  histories  of  Little 
Russia  and  the  Middle  Ages.  (Waliszewski.)  —  Silas  Marner  was  begun 
without  definite  plan  for  its  length,  and  Ettorre  Fieramosca,  without  idea 
how  it  would  end. 

141.  The  Sources. — The  materials  for  a  novel  maybe 
mainly  in  the  mind  of  the  novelist  when  the  original  plan 
is  made,  or  they  may  be  sought  for  afterwards.  The  im- 
mediate sources  are  always  closely  related  to  the  personal- 
ity of  the  author;  the  ultimate  sources  are  social,  and  may 
be  very  difficult  to  trace. 

In  most  novels  there  is  an  intricate  mingling  of  the  more 
subjective  and  the  more  objective  materials.  Romance 
may  be  largely  subjective,  but  for  the  novel  proper,  the 


THE   PROCESS   OF  COMPOSITION  171 

canon  of  objectivity  (see  Section  129)  demands  extended 
observation  of  the  outer  world.  Subjective  material  may 
belong  to  recent  experience,  or  to  remote  memory ;  but 
memory  allowed  to  dominate  could  not  produce  a  repre- 
sentative novel  Few  great  novels  could  be  adequately 
described  as  "emotion  recollected  in  tranquillity."  The 
creative  element  is  always  essential,  and  may  be  con- 
sidered as  belonging  to  the  subjective  material. 

Observation  takes  many  forms.  The  source  of  much 
material  for  the  novel  is  in  literature  itself  —  in  biography, 
history,  essay,  novel,  and  drama. 

George  Eliot  gained  a  part  of  the  Jewish  material  for  Daniel 
Deronda,  and  some  of  her  knowledge  of  inundations  for  The  Mill  on 
the  Floss,  by  vigorous  search  of  libraries.  While  Scott's  theory  of  his- 
torical composition  was  that  a  period  already  familiar  to  the  novelist 
should  be  chosen,  he  apologizes  for  the  errors  in  Anne  of  Geierstein  on 
the  ground  that  he  was  away  from  his  library.  (Introduction  of  1831.) 
The  fcource  of  the  main  theme  of  Ivanhoe  —  the  contrast  of  Celt  and 
Saxon  —  was  in  an  obscure  drama,  Logan's  Runnimede.  The  novel- 
ization  of  dramas  has  been  much  less  common  than  the  opposite 
process.1 

Consultation  with  other  persons  has  been  a  source  of 
material  in  many  novels. 

Scott  observed  and  questioned  many  representatives  of  an  earlier 
generation,  for  legendary  matter  and  local  manners.  Gogol  consulted 
his  mother  for  peasant  material,  and  Pushkin  was  indebted  to  his  old 
serf  nurse  for  national  songs  and  traditions.  George  Eliot  sought  pro- 
fessional advice  regarding  the  legal  element  in  Felix  Holt. 

Travel,  whether  for  general  purposes  or  for  the  sake  of 
an  individual  novel,  has  long  been  a  common  method  of 
obtaining  materials. 

1  Professor  C.  F.  McClumpha  gives  an  extended  comparison  of  Greene's 
Alcida  and  Lyly's  Love's  Metamorphosis,  on  which  it  was  founded,  in  The 
Minnesota  Magazine  for  October,  1899. 


172  THE   STUDY   OF  A  NOVEL 

Browning's  life  of  George  Eliot  mentions  her  visits  to  Cambridge, 
Oxford,  and  Florence  as  yielding  new  fabric  for  novelistic  weaving. 
Scott  records  that  his  trip  around  the  coast  of  Scotland,  in  1814,  was 
for  the  purpose  of  gathering  data  for  the  Lord  of  the  Isles,  with  a  view 
to  prose  fiction  also.  (Introduction  to  The  Pirate,  1832.) 

That  method  of  observation  which  takes  the  form  of 
very  exact  intellectual  attention  to  details  —  reportage  —  is 
condemned  by  more  than  one  critic. 

Brunetiere  writes : l  "  L'observation  devient  moins  large  a  mesure 
qu'elle  devient  plus  exacte,  plus  precise,  plus  microscopique  et,  par  con- 
sequent, a  mesure,  s'e'loigne  da  vantage  de  la  nature  meme  et  de  la  ve'riteV' 
Lanson  comments  on  the  note-taking  habits  of  the  Goncourt  brothers 
and  Daudet.  Scott  in  general  followed  an  older  method  —  the  method 
which  produced  the  Duddon  River  sonnets  of  Wordsworth  —  "It  was 
not  the  purpose  of  the  author  to  present  a  landscape  copied  from  nature, 
but  a  piece  of  composition,  in  which  a  real  scene,  with  which  he  is  already 
familiar,  had  afforded  him  some  leading  outlines."  (Introduction  to 
The  Monastery,  1830.  Compare  Section  84.) 

Many  writers  agree  that  the  principal  characters  of  a 
novel  are  often  modeled  after  real  persons,  but  many  also 
insist  that  the  ultimate  portrait  should  bear  slight  resem- 
blance to  the  original.  Novelists  have  frequently  com- 
plained of  the  too  curious  attempt  of  readers  to  trace  back 
the  artistic  result  to  the  real  source. 

As  early  as  1754,  Sarah  Fielding  vigorously  objected  to  this  habit, 
and,  a  century  later,  Spielhagen  criticized  the  same  false  tendency. 
Scott  and  Hawthorne  received  rebukes  from  persons  connected  with  the 
real  models  for  certain  idealized  characters  or  places.  Probably  the 
novelist  is  sometimes  at  fault,  especially  in  the  eighteenth  century,  when 
"  secret  histories  "  and  caricature  of  contemporaries  were  so  common. 

Among  famous  characters  based  to  some  degree  on  real  models,  out- 
side of  historical  fiction,  are  Robinson  Crusoe,  Pamela,  Amelia,  The 
Vicar  of  Wakefield,  Meg  Merrilies,  Jeanie  Deans,  and  Dinah  Morris. 

1  Roman  Naturaliste,  p.  129. 


THE  PROCESS   OF  COMPOSITION  173 

142.  The  Time  Perspective.  —  Poe's  theory  for  the  ideal 
short  story,  based  on  his  general  lyrical  conception  of  art, 
was  that  it  should  be  written  at  a  single  sitting.  The 
novel  more  often  has  the  contrasted  interest  of  a  prolonged 
process.  Probably  few  of  the  world's  greatest  novels  have 
occupied  less  than  a  year,  from  original  plan  to  publica- 
tion. Literature  does  not  demand  a  difficult  physical 
execution,  and  it  cannot  rival  the  dignity  of  dramaturgy, 
painting,  or  sculpture  in  this  respect.  Even  the  time 
given  to  the  Come'die  Humaine  sinks  into  insignificance, 
compared  with  that  required  for  the  construction  of 
great  cathedrals. 

The  rate  of  composition  varies  not  only  for  individual 
novelists,  but  for  individual  novels  and  passages.  George 
Eliot  wrote  the  eighth  chapter  of  Amos  Barton  at  a  sitting, 
but  at  Dresden  she  produced  little  more  than  eight  hun- 
dred words  a  day  on  Adam  Bede.  There  may  possibly 
be  danger  that  too  much  time  spent  on  a  single  work  may 
destroy  the  subtle  unity  of  emotional  tone ;  but  on  the  other 
hand,  a  long  process  of  thought  may  strengthen  the 
intellectual  unity  of  structure.  Scott  defends  rapid  com- 
position :  — 

"  The  best  authors  in  all  countries  have  been  the  most  voluminous. 
.  .  .  The  works  and  passages  in  which  I  have  succeeded,  have  uni- 
formly been  written  with  the  greatest  rapidity ;  .  .  .  the  parts  in  which  I 
have  come  feebly  off,  were  by  much  the  more  labored."  (Introductory 
Epistle,  Fortunes  of  Nigel.) 

The  testimony  of  the  author  himself  is  not  always  final  authority. 
Beckford  records  of  Vathek  :  "  It  took  me  three  days  and  two  nights  of 
hard  labor.  I  never  took  my  clothes  off  the  whole  time."  But  Gar- 
nett,  in  the  introduction  to  his  edition  of  Vathek,  shows  that  the  actual 
time,  including  the  revisions,  was  a  matter  of  years  instead  of  days. 


174  THE   STUDY  OF  A  NOVEL 

EXAMPLES 

Adam  Bede:  story  told  by  author's  aunt,  about  1840;  retold  to 
Lewes,  and  he  suggests  it  is  good  material  for  fiction,  December,  1856  ; 
writing  begun,  October  22,  1857  ;  Chapter  XIII  finished,  February  28, 
1858  ;  Vol.  I  finished  in  March  ;  Vol.  II  begun  about  the  middle  of 
April  ;  Chapter  XVIII  completed,  May  15  ;  Chapter  XX,  May  26  ;  the 
fight  "  came  to  me  as  a  necessity,"  May  30  ;  Chapter  XXI,  June  10  ; 
Chapter  XXV,  July  7  ;  Vol.  II  finished,  September  7  ;  Chapter  LII 
finished,  October  29  ;  work  finished,  November  16  ;  published  (de- 
layed on  account  of  Bulwer's  What  will  He  do  with  It  ?),  February, 
1859.  —  Silas  Marner :  original  conception,  November,  1860;  sixty 
pages,  November  28  ;  230  pages,  February  15,  1861  ;  finished  March  10. 

Wilhelm  Meister  —  Lehrjahre  :  planned  in  1775;  begun  and  Book  I 
finished,  1777  ;  Books  II  and  III,  1782 ;  Book  IV,  1783  ;  Book  V,  1784 ; 
Book  VI,  1785;  some  work  done,  1786;  finished  and  published,  after 
interval  of  no  work,  1796.  —  Wanderjahre:  short  stories  written  or 
collected,  1794;  work  finished  and  published,  after  some  years  of  labor, 
1829. 

Rasselas :  the  evenings  and  nights  of  a  single  week.  —  Castle  of 
Otranto:  about  two  months. — Pamela  :  three  months.  —  Robinson  Cru- 
soe: April,  1719  to  August,  1720  (planned  long  before).  —  Gulliver: 
"probable  that  the  composition  extended  over  a  good  many  years" 
(Gosse).  —  Don  Quixote  :  many  years.  —  Waverley :  begun  and  a  third 
of  first  volume  written,  1805;  laid  aside;  last  two  volumes  written  in 
three  weeks,  1814. —  Gil  Bias :  1715  to  1735. 

143.  Technic  of  the  Process.  —  Many  of  the  great  novel- 
ists from  early  times  have  had  a  lively  interest  in  the 
technic  of  their  art,  but  recently  there  has  been  unusual 
emphasis  laid  on  the  necessity  of  technical  mastery. 
Such  statements  as  the  following  are  not  exceptional : 1  — 

Walter  Besant :  "  For  every  art  there  is  the  corresponding  science 
which  may  be  taught."—  Cody  :  "  This  foolish  dictum  .  .  .  that  <  the  best 
writers  believe  that  the  art  of  fiction  cannot  be  taught  or  analyzed.' " 
—  Frank  Norris  :  "  Even  a  defective  system  is  —  at  any  rate,  in  fiction  — 
better  than  none." 

1  These  quotations  arc  from  works  listed  in  the  bibliography. 


THE   PROCESS   OF   COMPOSITION  175 

With  the  idea  of  technic  is  associated  the  idea  of  labor. 
Many  novelists  and  critics  would  agree  in  the  main  with 
Sir  Joshua  Reynolds,  that  the  "  dignity  of  a  work  of  art 
depends  on  the  amount  and  quality  of  mental  labor  em- 
ployed in  its  production,"  1  etc. 

Balzac,  Trollope,  Spielhagen,  and  Howells  are  all  exponents  of  the 
doctrine  of  labor,  both  in  their  theory  and  their  practise.  Trollope 
affirms,  "  there  is  no  way  of  writing  well,  and  also  of  writing  easily."  a 
Spielhagen  says  the  germinal  idea  of  a  composition  may  be  the  gift  of 
the  gods,  but  after  that,  the  rule  is  "  diligence,  diligence,  diligence."  3 

The  labor  of  the  novelist,  roughly  stated,  consists  in 
planning,  executing,  and  revising.  The  relations  of  these 
three  processes,  in  sequence  and  in  amount,  vary  of  course 
with  every  novel.  In  general,  it  is  probable  that  the 
execution  consumes  more  time  than  the  other  two  tasks. 
The  fact  that  there  is  no  artistic  physical  process  may  be 
considered  either  an  advantage  or  a  disadvantage. 

Spielhagen  traces  four  steps  in  the  composition  of  a 
novel.4 

The  attention  to  technical  details  is  often  larger  than  the  average 
reader  might  suppose.  Richardson  was  fully  conscious  of  the  problems 
of  epistolary  form.  Scott  gave  thoughtful  consideration  to  such  matters 
as  titles,  mottos,  an$  dialogic  connectives.)  George  Eliot  was  well 
aware  of  the  "  two  plots  "  in  Middlemarch.  The  treatment  of  the  chapter 
as  a  perfectly  distinct  unit  is  carefully  analyzed  by  Frank  Norris.  This 
last  critic  agrees  substantially  with  Poe,  in  a  general  formula  for  the 
technical  process  —  "  in  a  phrase  one  could  resume  the  whole  system  of 
fiction-mechanics  —  preparation  of  effect." 

The  search  for  the  mot  propre  on  the  part  of  certain  French  realistic 
"  artists  "  is  an  exacting  one.  Manzoni  spent  considerable  time  in  im- 
proving the  dialect  of  I  Promessi  Sposi.  The  extensive  revisions  of 

1  Opening  of  Fourth  Discourse. 

2  Barchester  Towers,  Vol  I,  Chapter  XXX. 

8  Technik  des  Romans,  pp.  25,  33.          *  Ibid.,  p.  29. 


176  THE   STUDY  OF   A  NOVEL 

Balzac  after  "copy"  was  sent  in,  were  a  terror  to  the  printers.  Scott 
gave  relatively  little  labor  to  revision.  (See  his  general  introduction  to 
the  Waverley  Novels,  1829.) 

The  method  of  publication  may  be  worthy  of  note  in  many  cases. 
For  some  interesting  details,  see  Cross1  Life  of  George  Eliot.  Among 
long  and  notable  fictions  first  appearing  as  periodical  serials,  are  Anna 
Kardnina  and  War  and  Peace. 

Other  literary  undertakings  are  frequently  on  hand  while  a  novel  is 
being  written.  George  Eliot  writes  of  Silas  Marner  as  "  thrusting  itself 
between  me  and  the  other  book  [Romola]  I  was  meditating." 

The  practical  phases  of  mechanical  method  —  the  time  chosen  for 
writing,  the  physical  environment  preferred,  the  use  of  stimulants,  the 
preparation  of  copy,  etc.  —  have  their  interest,  and  may  at  times  be 
worth  examination,  in  connection  with  the  psychology  of  composition. 

144.  Psychology  of  the  Process.  —  The  writing  of  a  novel 
may  always  be  viewed  as  an  artificial  process,  to  some 
degree,  and  it  may  involve  considerable  change  of  con- 
sciousness in  the  author.  Robiati1  distinguishes  the 
"  artistic  personality  "  from  the  "  human."  It  is  said  that 
professional  humorists  are  often  sedate  or  even  melan- 
choly persons  when  free  from  literary  pressure;  and 
Mackenzie,  the  author  of  one  of  the  most  lacrimose  of 
English  fictions,  was  known  as  a  cheerfully  social  being 
in  private  life. 

Some  critics  find  in  this  transformation  of  the  writer's 
mind  a  tendency  toward  the  abnormal,  or  even  the  patho- 
logical. Nordau,  in  Degeneration,  includes  several  novel- 
ists among  his  studies  of  literary  degenerates.  Rousseau 
had  a  theory  that  the  novel  in  general  was  the  product  of 
degenerate  conditions,  and  Carlyle  at  times  held  with  more 
or  less  seriousness  the  idea  that  silence  was  an  eminent 
characteristic  of  perfect  sanity. 

In  such  authors  as  Swift,  Gogol,  Maupassant,  and  Nietzsche,  the 
question  merges  into  the  larger  one  of  the  general  relations  of  genius 

1  II  Romanzo  Contemporaneo  in  Italia. 


THE  PROCESS   OF  COMPOSITION  177 

and  insanity.  There  are  many  less  tragic  examples  of  abnormal  con- 
dition associated  with  literary  labor.  Scott  was  seriously  affected  by 
the  excitement  and  fatigue  of  composition.  Beckford  states  that  the 
labor  on  Vathek  made  him  "  very  sick."  Cross,  in  his  Life  of  George 
Eliot,  speaks  of  Romola  as  "  ploughing  into  "  the  author,  and  her  own 
summary  is,  "  I  began  it  a  young  woman  —  I  finished  it  an  old  woman." 
In  spirit  if  not  in  letter,  some  of  the  greater  novelists  might  describe 
their  masterpiece  as 

" .  .  .  il  poema  sacro, 
Al  quale  ha  posto  mano  e  cielo  e  terra, 
Si  che  m'  ha  fatto  per  piu  anni  macro."  l 

Even  the  "  cielo,"  broadly  interpreted,  is  not  always  inappropriate  to 
the  novelist.  Flaubert's  "art  was  his  religion."  (Lanson;  Gilbert.) 
Of  the  failure  to  combine  the  secular  duty  with  the  religious  aspiration, 
George  Eliot  speaks  bitterly,  in  Silly  Novels  by  Lady  Novelists :  "  as 
a  general  rule,  the  ability  of  a  lady  novelist  to  describe  actual  life  and 
her  fellow-men  is  in  inverse  proportion  to  her  confident  eloquence 
about  God  and  the  other  world,  and  the  means  by  which  she  usually 
chooses  to  conduct  you  to  true  ideas  of  the  invisible  is  a  totally  false 
picture  of  the  visible." 

During  composition,  a  novelist  may  be  conscious  of  his 
material,  form,  or  purpose ;  of  the  reader  or  of  himself.  He 
may  concentrate  his  mind  on  one  of  these  interests  as  a 
central  point,  or  wander  unsteadily  from  one  to  another. 
Completely  developed  realistic  theory  allows  the  author 
scarcely  a  standing-place,  in  his  private  personality.  He 
must  either  lose  himself  in  his  characters  and  plot,  or  hold 
aloof  from  them,  as  impartial  philosopher  or  pure  "  artist." 
These  views  of  the  relation  of  a  novelist  to  his  work  sug- 
gest an  interesting  comparison  with  theories  of  histrionic 
art. 

The  following  notes  may  indicate  the  vast  variety  of 
data  which  could  easily  be  collected  on  the  matter  of  the 
author's  center  of  consciousness  (compare  Section  129):  — 

1  Paradise,  XXV,  opening  lines. 


178  THE   STUDY   OF   A  NOVEL 

Compare  the  use  of  the  word  "  puppet "  for  the  dramatis  personae, 
with  the  statement  that  to  Balzac  his  characters  were  "  more  real  than 
persons  of  flesh  and  blood." 

Scherer  gives  as  the  essence  of  George  Eliot's  method,  "artistic 
inspiration,  rapid  work,  and  sense  of  compulsion."  The  last  element 
is  often  mentioned  as  an  essential  in  true  artistic  creation.  Novelists 
also  note  that  the  unexpected  is  to  be  expected. 

Zola's  theory  of  plot-composition  as  a  kind  of  scientific  experiment. 

According  to  Spielhagen,  the  novelist  should  work  in  an  atmosphere 
of  "ruhige  Objektivitat." 

Scott  testified  that  he  "repeatedly  laid  down  .  .  .  future  work  to 
scale,  divided  it  into  volumes  and  chapters,"  etc.,  but  that  when  the 
creative  fever  developed,  he  abandoned  conscious  plan  for  spontaneous 
imagination. 

Gilbert:1  " Le  grand  dogme  du  rdalisme  c'est  Pimpersonnalitd " 
(p.  161).  "L'art  pour  Tart"  is  discussed  in  Gilbert  (pp.  122,  162), 
and  Lanson1  (p.  998). 

George  Eliot  is  severe  on  those  novelists  who  embody  personal 
experience  in  their  work,  without  great  transformation.  (Lady  Nov- 
elists.) 

Cody: 1  "  Self-consciousness  during  writing  is  most  dangerous.  No 
better  way  of  escaping  it  than  by  a  rigorous  course  of  self-conscious 
preparation  "  (p.  40) . 

Frank  Norris :  r  "  The  moment,  however,  that  the  writer  becomes 
really  and  vitally  interested  in  his  purpose,  his  novel  fails."  But  if  the 
purpose  is  part  of  the  general  philosophy  of  the  novelist,  it  is  not  easily 
escaped.  Gilbert  notes  that  the  theme  of  Madame  Bovary  is  almost  an 
idee  fixe  —  "  toujours  la  disproportion  entre  le  reve  et  Pexistence." 

Trollope  criticizes  the  Radcliflfian  habit  of  mystification,  and  gives 
his  own  doctrine,  "  that  the  author  and  the  reader  should  move  along 
together  in  full  confidence  with  each  other."  (Barchester  Towers,  Vol. 
I,  Chapter  15.) 

The  preceding  paragraphs  consider  composition  mainly 
from  a  statical  point  of  view.  It  is  much  more  complex 
when  viewed  as  a  continual  though  irregular  development. 
It  is  doubtless  impossible  for  any  one  not  a  novelist  to 

1  Reference  is  to  works  listed  in  the  bibliography. 


THE   PROCESS   OF   COMPOSITION  179 

realize  this  aspect  of  composition  adequately.  Theoreti- 
cally, some  important  phases  of  development  are  new  con- 
ception or  observation,  selection,  contraction,  expansion, 
verification,  movement  from  the  concrete  to  the  general 
and  vice  versa,  analysis  and  synthesis.  The  largest  func- 
tion of  synthesis  is  to  unify  the  entire  plan  of  the  novel. 
The  introduction  of  every  new  element  modifies  the  value 
of  all  that  precedes,  and  partially  determines  all  that  fol- 
lows. 

Rejection  of  much  material  is  imperative.  Only  a  small  part  of  what 
is  conceived  or  imagined  is  embodied  in  the  novel.  In  the  words  of 
Walter  Besant,  "  thousands  of  scenes  which  belong  to  the  story  never 
get  outside  the  writer's  brain."  (Compare  Section  44.) 

Expansion  may  appear  in  simple  enlargement  of  plan,  or  in  increased 
seriousness  of  purpose.  In  writing  Joseph  Andrews,  Fielding  largely 
outgrew  his  original  idea  of  parody.  In  Don  Quixote,  "  Cervantes  set 
out  to  write  a  comic  short  story,  and  the  design  grew  under  his  hand 
until  at  length  it  included  a  whole  Human  Comedy."  (Fitzmaurice- 
Kelly.) 

In  genuine  artistic  composition,  there  is  probably  marked 
development  of  illusion.  Yet  the  process  may  be  compli- 
cated throughout  by  changes  from  imaginative  warmth  to 
cold-blooded  critical  scrutiny  and  verification.  In  histori- 
cal fiction,  there  is  the  special  problem  of  subordinating 
the  contemporaneous  sense  to  the  historical  imagination. 
To  the  layman,  illusion  seems  more  imperative  in  some 
elements  than  in  others.  It  is  difficult  to  conceive  success- 
ful conversation  written  without  a  lively  sense  of  its  reality, 
but  a  fairly  good  description  of  character  or  landscape  might 
be  achieved  simply  by  force  of  will. 

The  psychology  of  composition  is  so  closely  connected 
with  style  that  it  may  often  be  advisable  to  combine  the 
two  into  one  topic  of  study. 


180  THE   STUDY   OF  A  NOVEL 

145.  Collaboration.1  —  In  the  usual  sense  of  the  word, 
collaboration  is  less  common  in   the    novel   than   in   the 
drama.      Any  form   of   plot-literature,  however,  is  better 
adapted  for  cooperation  than  the  lyric,  in  which  the  unity 
is  so  personal  and  emotional.     Literature  does  not  offer 
the  spectacle  of  a  combination  of  artists,  one  producing  the 
mental  plan,  others  undertaking  the  physical  execution,  as 
in  dramaturgy,  architecture,  and  orchestral  music. 

Examples  of  novelistic  collaboration  occur  in  some  works  of  Steven- 
son, in  the  Erckmann-Chatrian  partnership,  and  in  the  frequent  prac- 
tise of  Dumas  pere. 

Collaboration  in  the  form  of  consultation,  or  in  the  unin- 
vited assistance  of  individuals  or  the  public,  is  not  uncom- 
mon. (Compare  Section  141.)  The  publisher  often  has 
some  influence  on  the  composition  of  a  novel.  Occasion- 
ally the  reading  public  has  influenced  alteration  of  titles 
or  catastrophes. 

Pushkin  suggested  subjects  and  titles  to  Gogol.  Of  Dead  Souls  the 
author  says  :  "  Pushkin  was  its  inspiration  ;  and  to  him  I  owe  the  idea 
and  plan."  All  the  copy  was  submitted  to  him.2 — Goethe  undertook 
the  Wanderjahre  upon  the  advice  of  Schiller.  —  Oroonoko  is  said  to  have 
been  suggested  by  Charles  the  Second.  —  George  Eliot  records  the 
influence  of  Lewes'  advice,  sometimes  in  considerable  detail. 

146.  Fragments.  —  The  study  of  a  fragment,  whether  it 
is  a  continuous  part  of  the  text,  or  composed  of  discon- 
nected portions,  or  mere  notes,  has  special  interest  in  rela- 
tion to  the  process  of  composition.     Stevenson  left  some 
interesting  fragments,  and  Hawthorne's  Dolliver  Romance 
and  Septimius  Felton  make  valuable  studies  of  this  kind. 
Note  also,  Dead  Souls,  Edwin  Drood,  and  Pausanias. 

1  See  the  essay  by  Brander  Matthews,  The  Art  and  Mystery  of  Collaboration, 
in  The  Historical  Novel ;  and  Walter  Besant's  article  in  The  New  Review. 

2  Turner,  p.  162  ff. 


CHAPTER   X 
THE   SHAPING   FORCES 

147.  General  Conception.  —  Purely  aesthetic  criticism  may 
perhaps  neglect  the  causes  that  produce  a  novel,  ex- 
cept the  individuality  of  the  author,  but  to  historical  and 
sociological  criticism  these  are  very  important  interests. 
While  it  is  impossible  to  attain  complete  scientific  analysis, 
it  is  always  possible  to  reach  some  definite  results,  and 
speculation  as  to  probable  influences  at  least  develops  an 
intimacy  with  the  novel  and  the  environment  in  which 
it  appeared.  In  many  cases  specific  lines  of  influence  may 
be  traced,  as  in  the  imitation  of  incident,  character,  or 
style  in  one  novel  from  another ;  but  often  one  must  rest 
satisfied  with  more  vague  conception  of  large  moral  and 
social  forces,  moulding  the  general  spirit  of  a  work.  The 
influences  most  readily  perceived  are  not  always  the  most 
significant. 

The  immediate  cause  of  every  novel  is  the  author  as  an 
individual,  through  whom  all  other  forces  operate,  modified 
by  his  character  and  art.  The  more  remote  causes  include 
national  and  racial  spirit,  the  Zeitgeist,  and  human  nature 
in  general.  The  author  is  not  necessarily  conscious  of  the 
chief  influences  shaping  his  novel,  whether  they  belong 
within  his  own  individuality  or  outside  it.  Often,  however, 
he  is  fully  aware  of  them,  either  allowing  them  complete 
sway,  or  vainly  striving^to  escape  them.  A  reaction  against 
a  force  is  one  form  of  the  effect  of  that  force,  and  examina- 

181 


1 82  THE   STUDY   OF   A   NOVEL 

tion  of  literary  revolt  affords  good  opportunity  for  a  study 
of  this  principle.  Few  of  the  early  realists,  for  example, 
escaped  a  considerable  influence,  in  this  manner,  from  the 
romantic  movement. 

The  modern  Russian  novelists  seem  at  times  to  have  an  almost  morbid 
sense  of  nationality  and  race.  —  American  novelists  are  aware  of  the 
national  quality  in  certain  types  of  humor,  and  in  materialistic  tendency. 
—  It  is  possible  that  the  moral  hate  of  injustice,  the  vvilfulness,  and  the 
temperamental  melancholy  in  Thomas  Hardy  are  more  racial  than  he 
himself  recognizes.  — Probably  the  critics  of  the  present  day  see  more 
clearly  than  the  authors  saw,  the  influence  of  early  evangelical  belief 
on  George  Eliot,  and  of  Puritan  inheritance  on  Hawthorne. 

148.  The  Data.  —  The  present  study  involves  a  com- 
parison of  the  content  and  form  of  a  novel  with  the  nature 
of  the  forces  known  or  supposed  to  influence  it.  The 
greater  the  intimacy  with  the  novel,  the  greater  probability 
of  correct  tracing  of  influences,  provided  that  too  minute 
analysis  does  not  destroy  general  impressions  of  moral  and 
mental  tone.  On  the  other  hand,  the  deeper  the  acquaint- 
ance with  the  shaping  forces,  as  they  operate  in  all  do- 
mains, the  greater  the  probability  of  discovering  their  effect 
on  an  individual  novel.  Familiarity  with  the  process  of 
composition,  and  with  the  author's  outer  and  inner  history 
is  clearly  requisite.  Often  the  author's  own  testimony 
yields  direct  evidence  of  influences  not  otherwise  easily 
detected.  The  histories  of  fiction  record  innumerable  ex- 
amples of  the  specific  influence  of  one  novel  or  school 
of  novelists  on  another.  Criticism  often  points  out  the 
exact  source  of  details  in  character,  incident,  motivation, 
syntax,  rhythm,  and  vocabulary.  Some  definite  formulas 
of  inheritance  have  long  been  established  for  the  greater 
novels  of  Europe,  but  in  few  cases  has  the  study  been 
exhaustive.  There  may  be  a  fresher  interest,  at  times, 


THE   SHAPING   FORCES  183 

in  the  examination  of  a  novel  whose  lineage  is  still  prob- 
lematic. 

As  suggested  in  the  preceding  section,  one  outside  the  immediate 
field  of  a  given  influence  may  sometimes  note  its  working  more  clearly 
than  one  within  that  field.  The  student  may  do  well  to  consult  Eng- 
lish criticism  for  the  French  quality  in  Balzac,  French  criticism  for  the 
Russian  element  in  Gogol,  etc.  But  there  is  also  a  particular  interest 
in  tracing  the  effect  on  the  novel,  of  forces  which  are  daily  moulding 
one's  own  ideas  and  emotions. 

149.  Individuality  of  the  Author.  —  In  comparison  with 
a  lyric,  a  novel  usually  embodies  the  general,  persistent 
temperament,  character,  and  philosophy  of  the  author. 
These  influences  are  perhaps  seen  most  clearly  in  generic 
type  of  subject  and  in  major  modes  of  treatment  —  the 
specific  themes  and  the  details  of  form  may  change  with 
the  passing  years.  Capacity  for  large  generalization,  im- 
aginative power,  optimistic  or  pessimistic  tendency,  sanity 
or  morbidity,  misanthropy  or  warm  human  sympathy,  in- 
tellectual or  emotional  emphasis,  and  similar  characteristics, 
if  not  innate,  are  generally  well  determined  by  the  time  a 
great  novel  is  produced.  These  qualities  of  character  have 
intimate  relation  to  temperament,  and  temperament  under- 
goes no  radical  change  during  a  lifetime.  A  great  novel 
is  rarely  written  before  an  accumulation  of  experience  so 
large  that  little  less  than  a  catastrophe  can  essentially  alter 
its  complexion ;  or  before  the  method  of  reaction  upon 
experience  is  well  established. 

Sterne  was  personally  melancholy,  abstracted,  nervous,  "indulging 
in  tears  as  a  habitual  luxury1'  (Masson).  —  The  essential  unity  of  Tol- 
stoi's character  can  be  traced  throughout  his  writings.  —  Great  as  are 
the  differences  between  Werther  and  Wilhelm  Meister,  both  reveal  the 
artistic  temperament,  the  apostle  of  culture,  and  the  devotee  of  intel- 
lectual calm.  —  Newman  became  a  Catholic  in  middle  life,  and  his  novels 
were  written  after  that  change  of  position ;  but  throughout  life  he  was 


1 84  THE   STUDY  OF  A  NOVEL 

deeply  religious,  conservative,  speculative,  and  gifted  with  unusual  his- 
torical imagination,  reverence,  and  analytical  power.  —  The  sensitive, 
impressionable  nature  of  George  Eliot,  her  profound  ethical  quality,  her 
pessimism,  are  far  deeper  than  any  difference  between  orthodox  belief 
and  positivism. 

The  following  are  examples  of  individuality  in  formal  details  — 
whether  permanent  or  episodic  in  the  author:  —  Fogazzaro,  use  of  the 
leit-motif  (Robiati)  ;  —  Hugo,  use  of  the  rhetorical  short  paragraph  (see 
also  Hennequin)  ;  —  George  Eliot,  semi-quotation  ;  —  Bunyan,  numeri- 
cal division  of  expository  passages  (in  Defoe  also,  perhaps  from  Bun- 
yan's  influence)  ;  —  Fielding,  interruption  of  long  episodic  narrative  by 
exciting  incident  in  main  narrative.  —  See  also  the  footnote,  p.  24. 

150.  The  Author's  Age.  — A  great  lyric  may  be  written 
at  an  advanced  age,  but  the  lyric-writing  habit  has  rarely 
been  formed,  with  successful  result,  after  youthful  years. 
Few  of  the  great  novels  have  been  the  work  of  men  or 
women  under  twenty-five,  and  in  not  a  few  cases  successful 
novel-writing  began  in  middle  life. 

If  the  recent  advice  of  an  American  medical  expert  had  been  fore- 
seen and  adopted,  the  world  would  have  lost  some  of  the  masterpieces 
of  fiction.  Goethe  wrote  fiction  from  25  to  79;  Hugo,  from  21  to  75  ; 
Dickens,  from  22  to  his  death  at  58.  George  Eliot  began  at  38  ;  Rich- 
ardson at  51 ;  Balzac  began  at  about  20,  achieved  success  at  30,  and 
continued  till  his  death  at  51. 

The  development  of  technical  mastery  in  the  course 
of  a  long  career  is  to  be  distinguished  from  the  general 
maturing  of  character ;  with  which,  however,  it  is  associ- 
ated. The  changes  produced  by  age  can  be  studied  in 
Werther  and  Wilhelm  Meister.  Some  types  of  romance, 
as  well  as  the  short  story,  are  more  akin  to  the  lyric  than  to 
the  novel,  and  offer  abundant  opportunity  to  examine  the 
influence  of  youth  in  prose  fiction. 

The  following  arrangement  of  data  is  suggestive  :  Pickwick  was 
written  at  24  ;  Castle  Rackrent,  35  ;  Eugenie  Grandet,  35  ;  Vanity 


THE   SHAPING   FORCES  185 

Fair,  36  ;  David  Copperfield,  37 ;  Vicar  of  Wakefield,  38 ;  Soil  und 
Haben,  39 ;  I  Promessi  Sposi,  40  ;  Tom  Jones,  42 ;  Waverley,  43 ; 
Tristram  Shandy,  46-54 ;  La  Nouvelle  Hdloise,  44-48 ;  Cloister  and 
Hearth,  46 ;  Anna  Kardnina,  47  ;  Pilgrim's  Progress,  50 ;  Middlemarch, 
51;  Robinson  Crusoe,  58;  Don  Quixote,  58-68;  Clarissa,  60;  Les 
Mise'rables,  60 ;  Wilhelm  Meister,  28-79. 

151.  Sex.  —  It  has  been  said  that  true  genius  partakes 
somewhat  of  the  qualities  of  both  sexes,  or  in  a  man- 
ner transcends  sex.  The  novel,  however,  is  hardly  the 
best  form  of  expression  to  exemplify  these  tendencies. 
Its  intense  humanity,  its  complex  exhibition  of  emotion, 
thought,  manners,  relations  of  the  individual  to  society 
and  to  nature,  are  continually  inviting  the  author  to  reveal 
the  sex  point  of  view.  Perhaps  the  greater  novelists  are 
less  conscious  of  sex  than  of  nationality  and  humanity ; 
while  a  conscious  attempt  to  escape  the  emphasis  of  sex 
is  characteristic  of  talent  rather  than  genius,  and  cannot 
be  entirely  successful. 

Richardson  is  an  eminent  example  of  feminine  quality  in  man  ;  while 
his  critical  enemy  Fielding  seems  anxious  to  fortify  the  masculine  posi- 
tion. Fielding's  disciple,  Thackeray,  is  also  consciously  hostile  toward 
the  effeminate.  In  the  ideal  of  "  muscular  Christianity,1'  partly  a  reac- 
tion from  the  asceticism  of  the  Oxford  Movement,  the  masculine  note 
is  prominent.  Some  of  George  Eliot's  early  reviewers  conceived  her 
as  a  man,  but  more  penetrating  criticism  discovered  the  characteristics 
of  the  woman. 

It  is  often  said  that  woman  is  especially  fitted  for  the 
novelist's  function,  by  her  power  of  minute  observation, 
strong  sense  of  satire,  her  interest  in  love,  and  tendency 
toward  a  personal  and  emotional  view  of  life.  Whether 
these  are  considered  as  advantageous,  or  truly  novelistic, 
will  depend  on  one's  theory  of  the  novel.  Some  of  the 
qualities  of  novelistic  style  given  in  Chapter  VIII  belong, 
in  the  layman's  psychology,  to  the  masculine  mind.  In 


1 86  THE   STUDY   OF  A   NOVEL 

the  general  history  of  the  novel,  the  main  lines  of  develop- 
ment, both  in  subject  and  form,  have  been  initiated  by 
men ;  though  later  modifications  of  importance  have  been 
made  by  women. 

Certain  types  of  fiction  are  more  natural  to  woman  than  others.  She 
has  attained  great  success  in  the  novel  of  manners,  "  domestic  satire," 
and  in  some  kinds  of  psychological  analysis.  In  historical  romance,  her 
tendency  is  to  modernize  and  subjectify  individual  character  and  social 
tone.  Few  of  the  greater  Utopian,  political,  or  allegorical  fictions  have 
been  written  by  woman,  and  she  has  probably  produced  no  masterpiece 
in  the  recent  symbolistic  movement. 

The  romance  of  chivalry,  pastoral  romance,  and  the  picaresque  novel 
were  organized  and  mainly  developed  by  men.  Their  era,  however, 
was  before  a  general  entrance  of  woman  into  prose  literature.  —  The 
initiative  value  of  The  Princess  of  Cleves,  Jane  Austen's  novels,  and  Jane 
Eyre  is  large.  —  In  English  fiction,  Walpole  is  credited  with  the  creation 
of  Gothic  romance,  though  Mrs.  Radcliffe  and  Mrs.  Shelley  produced 
more  perfect  specimens.  —  Historical  romance,  of  the  general  type  of 
Scott,  is  traced  back  to  Leland,  though  Miss  Reeve's  Old  English 
Baron  came  long  before  Waverley.  —  On  the  other  hand,  the  origin  of 
the  "humanitarian  novel"  is  attributed  to  Mrs.  Behn,  of  the  "society 
novel"  to  Miss  Burney,  and  of  the  "international  novel"  to  Miss 
Edgeworth.  (Cross.)  Women  novelists  have  often  exerted  strong 
influence  upon  their  brothers,  a  familiar  example  being  found  in  Scott's 
indebtedness  to  Mrs.  Radcliffe  and  Miss  Edgeworth. 

152.  Personal  Episode. — The  author's  temporary  con- 
dition, as  related  to  the  concrete  process  of  composition, 
has  been  noticed  in  Chapter  IX.  Looked  at  in  a  larger 
way,  the  lives  of  most  novelists  show  distinct  psychological 
episodes,  based  on  physical,  artistic,  or  ethical  conditions, 
which  have  appreciable  influence  on  their  works.  An  im- 
portant change  in  mental  attitude  may  be  unconscious,  or 
it  may  be  due  to  deliberate  purpose.  It  may  coincide  with 
outward  changes  in  domestic  and  social  environment,  or  be 
more  purely  an  inward  experience.  There  are  episodes 


THE   SHAPING  FORCES  187 

of  health,  disease,  convalescence,  of  faith  and  doubt,  of 
expansion  and  contraction,  for  the  individual  as  well  as  for 
social  groups.  In  some  cases  one  can  discover  a  kind  of 
irregular  rhythm  in  the  moral  life,  akin  to  the  alternation  of 
romantic  and  realistic  impulse. 

The  major  episodes  may  often  be  identified  with  the 
"  manners "  of  an  author.  These  may  be  distinguished 
by  choice  of  subject,  dominant  interest,  or  stylistic  and 
structural  method. 

Lanson l  distinguishes  the  four  manners  of  George  Sand  as  follows : 
(i)  lyrical  and  rebellious  spirit,  interest  in  love;  (2)  more  objective 
quality,  socialistic,  the  religion  of  humanity ;  (3)  rustic  painting,  pro- 
duction of  the  masterpieces  of  the  genre  idyllique  in  French  fiction ; 
(4)  period  of  the  grandmother  tales,  the  public  treated  like  a  child.  — 
Brander  Matthews  gives  a  clear  summary  of  the  development  of  manners 
in  Scott.  Scott  himself  notes  the  deliberate  change  of  manner  in  St. 
Ronan's  Well ;  a  change  which  was  severely  criticized,  and  brought 
forth  the  judgment  that  the  great  wizard  had  "written  himself  out." 

In  the  central  part  of  the  nineteenth  century,  a  common 
phenomenon  in  fiction  is  decided  change  from  romantic 
to  realistic  faith  —  at  times  an  almost  violent  reaction,  and 
frequently  accompanied  by  critical  attack  on  the  old  prin- 
ciples, and  defense  of  the  new.  This  transfer  of  allegiance 
is  marked  in  Gogol,  Galdos,  and  Bjornson.  In  the  later 
years  of  the  century,  somewhat  similar  changes  are  ad- 
vance from  realism  to  naturalism ;  or  reaction  from  realism 
to  idealism,  in  the  form  of  historical  romance,  contem- 
porary character  studies,  or  symbolism.  Occasional  epi- 
sodic return  to  romanticism  on  the  part  of  the  habitual 
realist  is  the  rule  rather  than  the  exception. 

153.  National  and  Racial  Influences.  —  Criticism  recog- 
nizes the  difference  between  the  racial  and  the  national 

^.982. 


1 88  THE  STUDY  OF  A  NOVEL 

epic,  and  this  distinction  may  be  applied  to  the  novel.  In 
general  tendency,  however,  the  epic  is  more  racial,  the 
novel  more  national.  The  era  of  the  true  epic  was  before 
the  modern  nation  and  the  modern  sense  of  nationality 
were  fully  developed.  Racial  influence  in  literature  may 
be  considered  deeper  than  national  influence  —  more  emo- 
tional, physical,  lying  nearer  the  "elemental  man" — but 
for  that  reason,  generally  less  conscious. 

The  history  of  the  novel  shows  no  national  "  schools  " 
comparable  in  compactness  and  uniformity  with  the 
schools  of  painting.  Yet  there  have  been  groups  of 
writers  approaching  the  unity  of  a  national  school;  for 
example,  the  Italian  novelists  of  the  Renaissance,  the 
eighteenth  century  English  realists,  and  the  Russian  socio- 
logical novelists  of  the  last  century.  In  the  individual 
novelist,  national  consciousness  has  often  been  pronounced ; 
appearing  in  enthusiastic  patriotism,  antagonism  to  other 
nations,  or  the  spirit  of  reform. 

Comparison  of  critical  estimates  of  national  character 
furnishes  a  natural  basis  for  the  study  of  national  influence. 
A  few  examples  may  be  given,  with  suggestions  of  appli- 
cation to  individual  novels :  — 

English:  "Energy  with  honesty"  (Matthew  Arnold)  ;  "void  of  the 
sentiment  of  the  beautiful  .  .  .  more  apt  for  the  sentiment  of  the  true  " 
(Taine)  ;  practical  efficiency  (Emerson).  —  Robinson  Crusoe,  Middle- 
march,  or  Barchester  Towers. 

French:  Lucidity  and  strong  social  sense  (Brunetiere)  ;  <  the  English 
novel  lives  by  character,  the  French  by  situation'  (Garnett).  —  La 
Princesse  de  Cleves,  Cinq-Mars,  Candide. 

German :  "  Steadiness  with  honesty  .  .  .  the  idea  of  science  govern- 
ing all  departments  of  human  activity"  (Matthew  Arnold)  ;  'the 
material,  awkward,  rather  coarse  Germanic  point  of  view  —  German 
exactness'  (John  Van  Dyke)  ;  "a  breed  absorbed  in  detail  and  minute 
observation"  (Fitzmaurice-Kelly). —  Soil  und  Haben. 


THE   SHAPING   FORCES  189 

Italian :  '  What  is  not  refined  is  not  Italian  .  .  .  love  of  perfect  form 
and  artistic  finish '  (Garnett)  ;  "  preferring  .  .  .  the  sensuous  to  the 
ideal "  (Symonds)  ;  "  la  spontaneita  del  genio  greco-latino  si  rebella  ad 
un  lavoro  minuzioso  di  analisi,  esigenti  profondi  studii  e  larghe  cogni- 
zioni.  .  .  .  Uno  dei  caratteri  piu  generali  e  piu  salienti  del  mondo 
latino  odierno  e  la  smania  di  vivere,  di  godere"  (Robiati).  — II  Trionfo 
della  Morte. 

Russian :  "  Tolstoi  is  essentially  a  Russian  writer,  sharing  the  gen- 
eral mental  quality  of  his  country,  of  which  one  characteristic  feature 
consists  in  the  inability  to  bring  its  beliefs  and  feelings  into  harmony  " 
(Waliszewski)  ;  "the  heroes  of  our  most  remarkable  poems  and 
romances  one  and  all  suffer  from  the  same  malady,  the  incapacity  of 
recognizing  any  aim  in  life,  any  worthy  motive  for  activity  "  (Dobro- 
louboff,  quoted  in  Turner).  —  Anna  Karenina,  Smoke,  Dead  Souls. 

Spanish :  "  On  the  one  hand  empty  honor,  careless  cruelty,  be- 
sotted superstition,  administrative  corruption,  and  on  the  other  sobriety, 
uncomplaining  industry  and  cheerful  courage"  (Matthews)  ;  "no  lit- 
erature has  so  completely  a  national  character  "  (F.  Schlegel)  ;  "  essen- 
tially chivalric  "  (Sismondi)  ;  "  complete  synthesis  of  gravity  of  matter 
and  gayety  of  manner "  (Coventry  Patmore) .  —  Don  Quixote,  Pepita 
Jimenez. 

There  are  few  great  novels  which  do  not  show  the  in- 
fluence of  more  than  one  nationality.  The  history  of 
fiction  is  largely  a  study  of  international  relations.  For 
European  fiction  in  general,  there  have  been  periods  of 
Italian,  Spanish,  French,  and  English  supremacy.  The 
spirit  of  the  novel  could  say  with  Browne,  in  the  Religio 
Medici,  "  all  places,  all  airs,  make  unto  me  one  country." 
Some  degree  of  cosmopolitan  influence  belongs  to  the 
essential  nature  of  certain  types  of  fiction  —  pastoral  and 
Utopian  romance,  the  romance  of  chivalry,  and  the  mod- 
ern "international  novel"  being  examples.  A  kind  of 
pseudo-cosmopolitan  spirit  has  been  criticized  in  recent 
years,  and  contrasted  with  the  truth  of  fidelity  to  national 
ideals,  and  with  the  picturesque  reality  of  local  color. 


190  THE   STUDY   OF  A   NOVEL 

A  study  of  great  historical  and  political  interest  is  found  in  the  na- 
tional modification  of  general  European  aesthetic  movements.  Pseudo- 
classicism  was  essentially  French,  but  it  underwent  local  variation  in 
England,  Russia,  and  Scandinavia.  —  Romanticism  was  an  essentially 
Germanic  movement,  and  while  it  exerted  great  influence  in  Russia  and 
Italy,  it  was  not  fully  at  home  in  those  countries.  Karamzin  was  a 
disciple  or  imitator  of  Richardson,  Sterne,  and  Rousseau,  but  "the 
romantic  element  in  [Russian]  literature  was  of  necessity  borrowed, 
and  could  not  be  self-created  "  (Turner).  Foscolo  imitated  Werther, 
and  Manzoni  imitated  Scott,  but  "  the  romantic  school  is  at  variance 
with  all  [Italian]  literary  traditions  and  .  .  .  canons  of  taste"  (Garnett). 
Garnett  suggests  that  the  lack  of  Gothic  architecture  in  Italy  may  be 
a  cause  of  anti-romantic  quality  in  the  literature. 

The  influence  of  race,  like  that  of  nationality,  varies 
with  industrial,  political,  and  religious  conditions.  Race 
consciousness  is  probably  deeper  in  some  races  than  in 
others.  In  modern  fiction  it  seems  particularly  strong  in 
the  Slav,  the  Jew,  and  the  Scandinavian.  Recent  politi- 
cal and  commercial  movements  have  developed  a  new 
type  of  Anglo-Saxon  race  spirit,  which  has  its  record  in 
fiction.  In  these  large  social  fields,  as  well  as  in  the  indi- 
vidual life,  "  consciousness  of  kind "  is  often  aroused  or 
intensified  by  antagonism  to  another  kind. 

Race  consciousness  is  clearly  defined  in  Gogol,  Tolstoi,  Sienkiewicz, 
Bjornson,  and  Zangwill.  In  Balzac  it  seems  almost  entirely  obscured  by 
the  national. 

Complex  intermingling  of  the  two  forms  of  influence 
is  abundantly  exemplified  in  fiction.  In  America  there 
is  a  general  sense  of  the  triumph  of  political  unity  over 
racial  diversity.  Continuity  of  race  under  very  differ- 
ent political  conditions  may  be  studied  by  comparing  the 
early  Greek  romances  with  the  modern,  the  sagas  with  the 
Weird  Tales  of  Jonas  Lie,  the  novels  of  "  Old  Spain  "  with 
those  of  Spanish-American  countries. 


THE   SHAPING   FORCES  191 

Many  novelists  have  been  influenced  by  foreign  residence.  Compare 
the  native  and  the  Parisian  influences  in  Kielland,  Turgenieff,  and 
Henry  James.  The  mixture  of  European  and  African  blood  in  Dumas 
and  in  Pushkin  invites  the  curious  scientific  student  to  investigate  the 
twofold  influence  in  their  fiction. 

154.  Linguistic  Influence.  —  The  general  nature  of  lan- 
guage modifies  the  expression  of  the  novelist,  limiting  it  in 
some  directions  and  expanding  it  in  others.  As  a  thinker, 
the  novelist  meets  the  same  difficulty  as  essayist  or  phi- 
losopher in  finding  language  forms  for  complete  and  exact 
embodiment  of  general  ideas ;  as  an  artist,  his  descriptive 
imagery,  his  narration,  his  dialogue  are  inevitably  moulded 
by  the  linguistic  medium.  The  imperfect  plastic  quality 
of  language  calls  for  great  labor  or  great  genius  in  the 
representation  of  delicate  shades  of  emotional  experience, 
individual  or  social,  contemporaneous  or  historical. 

This  influence  is  more  marked  in  connection  with  spe- 
cialized forms  of  language.  Some  scholars  find  the  lan- 
guage to  be  the  essential  bond  of  national  unity ;  dialect 
is  an  inviting  but  at  the  same  time  a  resisting  medium ; 
the  distinctions  between  literary  and  colloquial  language, 
academic  and  uncultured,  courtly  and  plebeian,  are  readily 
traced  in  the  fiction  of  Europe. 

Theoretically,  the  ideal  language  for  the  novel  proper 
may  be  characterized  as  modern,  without  too  much  tradi- 
tional influence,  complex  in  its  sources,  flexible  in  adapting 
new  elements,  possessed  of  a  prose  form  free  from  melodic 
and  rhythmical  emphasis,  highly  specialized  for  different 
social  groups  and  mental  tones,  and  already  tempered  for 
the  novel  by  master  hands.  The  qualities  adapted  to  the 
short  story  and  the  romance  are  somewhat  different 

These  conditions  are  not  met  with  equal  success  by  the  present 
languages  of  Europe.  Greek  is  perhaps  too  reminiscent  of  the  classical 


192  THE   STUDY   OF   A   NOVEL 

period,  and  has  not  yet  known  the  transforming  power  of  a  great  novelist : 
Italian  is  too  traditional,  too  conscious  of  Latin  inheritance  and  of 
Dante,  too  desirous  of  formal  perfection  ; 1  Spanish  and  French  proba- 
bly show  too  much  influence  from  academic  authority.  German  and 
English  —  possibly  "  American  English  "  in  particular  —  seem,  in  theory, 
to  be  among  the  most  novelistic  of  the  great  living  tongues  of  the 
Occident. 

In  any  form  of  plot-literature,  more  values  can  be  pre- 
served in  translation  than  is  possible  in  lyric  poetry.  The 
large  objective  picture  of  manners,  the  external  relations 
of  the  dramatis  personae,  the  outline  of  plot-structure,  etc., 
may  be  transferred  from  one  language  to  another  without 
great  loss ;  but  lyric  grace,  the  atmosphere  of  mental  moods, 
the  connotation  of  dramatic  speech,  and  the  harmonies  of 
language  are  entirely  altered  in  translation.  From  the 
reader's  point  of  view,  that  language  is  most  novelistic 
which  is  most  familiar  and  most  habitually  associated  with 
his  daily  experience. 

It  is  said  that  English  translations  of  French  translations  of  Russian 
novels  are  very  remote  from  the  linguistic  atmosphere  of  the  original. 
—  It  would  be  difficult  to  conceive  d'  Annunzio  writing  in  English,  or 
Fielding  in  Italian.  —  Criticism  has  suggested  that  George  Eliot  would 
have  found  German  a  better  medium  than  English  for  her  philo- 
sophical ideas.  —  Latin,  historically  if  not  inherently,  is  one  of  the  least 
novelistic  of  languages.  If  northern  Europe  had  rested  satisfied  with 
Utopia,  the  Iter  Subterraneum,  and  Argenis,  there  would  have  been 
little  hope  for  Robinson  Crusoe,  Wilhelm  Meister,  or  Dead  Souls. 
Even  the  influence  of  Latin  on  other  languages  may  injure  realistic 
illusion,  as  in  the  heroic  romance,  and  in  Rasselas. 

1  D'  Annunzio,  in  the  preface  to  II  Trionfo  della  Morte,  while  recognizing 
the  inadequate  expressive  power  of  the  modern  Italian  novelist,  defends  the 
language  itself:  "dico  che  la  lingua  italiana  non  ha  nulla  da  invidiare  e  nulla 
da  chiedere  in  prestito  ad  alcun'  altra  lingua  europea  non  pur  nella  rappre- 
sentazione  di  tutto  il  moderno  mondo  esteriore  ma  in  quella  degli '  stati  d'  ammo ' 
piu  complicati  e  piu  rari  in  cui  analista  si  sia  mai  compiaciuto  da  che  la  scienza 
della  psiche  umana  e  in  onore." 


THE   SHAPING   FORCES  193 

155.  Literary  Influence.  —  Though  the  novel,  in  its  best 
examples,  is  modeled  in  large  measure  directly  from  life, 
its  general  development  has  been  influenced  by  most  of 
the  other  types  of  literature,  and  there  are  few  individual 
masterpieces  in  which  both  remote  and  immediate  literary 
influence  may  not  be  profitably  studied.  A  grouping  of 
these  types  arranged  approximately  according  to  increas- 
ing degree  of  influence  upon  the  Stoffgeschichte  and 
Formgcschichte  of  the  novel,  might  appear  somewhat  as 
follows :  — 

(1)  The  lyric,  the  ballad,  satirical,  descriptive,  and  pas- 
toral poetry.  —  The  medieval  ballad  literature  is  causally 
related  to  the  romance  of  chivalry  and  the  prose  saga ;  the 
revival  of  ballad  spirit,  and  the  development  of  a  school  of 
landscape  poetry  in  the  eighteenth  century  are  intimately 
associated  with  the  romantic  movement  in  prose  fiction ; 
the   relations  of  verse  pastoral  to  pastoral   romance   are 
readily  traced. 

(2)  Philosophy,  science,  criticism,  the  essay.  —  The  scien- 
tific spirit  is  not  only  influential  on  the  realism  and  natural- 
ism of  the  nineteenth  century,  but  is  clearly  represented  in 
the  voyage  imaginaire  of  the  Renaissance,  as  in  The  New 
Atlantis  and  Cyrano  de  Bergerac's  Etats  et  Empire  de  la 
Lune,  and  in  the  reactionary  views  in  Gulliver.    The  politi- 
cal philosophy  of  Plato  had  direct  influence  on  Utopian 
fiction,  and  that  of  Rousseau  on  the  "  revolutionary  novel," 
as  in  Caleb  Williams.     Positivism  guided  the  ethical  spirit 
of  George  Eliot,  and  materialism  of  a  later  date,  with  evo- 
lutionary doctrine,  have  almost  created  as  well  as  controlled 
the  school  of  Zola.     By  way  of  reaction,  idealism,  even 
mysticism,  are  now  having  their  turn.     ^Esthetic  criticism 
in  general,  and  criticism  of  the  epic,  drama,  and  novel  in 
particular,  have  always  exerted  considerable  influence. 


194  THE   STUDY   OF  A   NOVEL 

The  Renaissance  theories  of  epic  poetry  were  partially  followed  in 
heroic  romance,  and  had  a  definite  place  in  the  conception  of  the  novel 
held  by  Fielding  and  his  contemporaries.  ./Esthetic  theory  largely 
shaped  the  pastoral  romance,  and  all  later  embodiments  of  the  "  art  for 
art's  sake  "  doctrine.  See  also  the  prefaces  of  Bulwer  Lytton  for  appli- 
cation of  broad  aesthetic  principle  to  the  novel. 

(3)  The  spirit  and  method  of  journalism  have  had  a  general  influ- 
ence on  much  modern  fiction,  and  are  the  immediate  ancestors  of  the 
roman  feuilleton  and  the  novel  of  "reportage" 

(4)  The  relations  of  the  drama  and  the  novel  are  noticed  in  the 
chapter  on  Comparative  Esthetics. — The  Sir  Roger  de  Coverley  papers 
may  be  considered  as  transitional  from  the  "  character  "  to  the  complete 
novel. 

(5)  The  short  story  of   the  Renaissance  type  has  fur- 
nished the  novel  with  many  situations  and  germs  of  plot ; 
the  short  story  of  the  last  century  has  probably  aided  the 
development  of  unity,  clear  structure,  and  finished  style  in 
the  novel.     Romance  has  influenced  the  novel  by  way  of 
reaction,  and  every  type  of  novel  has  had  its  dynamic  rela- 
tions to  all  its  contemporaries  and  successors.     Religious 
literature,  including  the  Bible,  has  been  a  shaping  force  in 
early  "  spiritual  romance,"  and  in  didactic  allegory. 

The  reading  of  the  early  church  fathers  probably  suggested  Callista 
to  Newman.  D1  Annunzio  urges  that  in  order  to  improve  their  style  the 
Italian  psychologists  "  debbono  ricercare  gli  asceti,  i  casuisti,  i  volgariz- 
zatori  di  sermoni,  di  omelie  e  di  soliloquii."  x 

See  also  the  note  on  Pepita  Jimenez  in  Section  139. 

Particularly  concrete  study  of  the  relation  of  cause  and 
effect  is  possible  in  the  case  of  direct  imitation,  as  in  parody 
and  burlesque. 

Compare  the  romance  of  chivalry  with  Don  Quixote;  the  heroic 
romance  with  the  pseudo-heroic  Female  Quixote  ;  and  the  parodies  of 
Thackeray  with  their  original  models. 

1  Preface  to  II  Trionfo  della  Morte. 


THE   SHAPING   FORCES  195 

An  important  influence  is  often  exerted  after  a  long 
period,  either  directly  or  through  a  series  of  intermediary 
works. 

Tristram  Shandy  is  greatly  indebted  to  the  Anatomy  of  Melancholy. 
—  Fielding  was  a  master  of  Thackeray.  —  Greek  romance  is  one  ances- 
tor of  heroic  romance.  —  Don  Quixote  was  a  general  model  for  Dead 
Souls.  —  The  following  long  line  of  inheritance  is  given  in  Matthews's 
Historical  Novel :  Lazarillo  and  Guzman,  Lesage,  Smollett.  Dickens, 
Bret  Harte,  Kipling.  Another  interesting  chain  given  in  the  same 
work,  though  not  long  in  time,  is,  Turgenieff,  Henry  James,  Bourget, 
d'  Annunzio.  —  A  sequence  little  suspected  by  the  casual  reader  is  the 
Adelphi  of  Terence,  Shadwell's  Squire  of  Alsatia,  The  Fortunes  of 
Nigel. 

156.  Historical  Influence.  —  While  all  forms  of  human 
expression  are  influenced  by  the  Zeitgeist,  Robiati  calls  the 
novel  "the  form  of  art  which  most  resembles  the  time 
in  which  it  is  produced."  An  earlier  and  more  cautious 
writer l  considers  it  as  "  perhaps  the  most  complete  expres- 
sion of  the  moral  and  social  state  of  an  epoch  and  a  coun- 
try." Every  great  movement  in  the  history  of  fiction, 
though  modified  by  race  and  nationality,  is  one  phase  of  a 
general  cultural  episode  in  modern  civilization. 

The  rationalism  and  pseudo-classicism  of  the  eighteenth  century  ap- 
pear in  essentially  the  same  manner  in  the  fiction  of  Russia,  Scandina- 
via, and  Holland,  as  in  the  major  literatures  of  the  period. —  Royce,  in  The 
Spirit  of  Modern  Philosophy,  associates  the  idealistic  philosophy  of 
Germany  with  its  literature  of  the  romantic  movement ;  and  Gates,  in  his 
editorial  essay  on  Newman,  discusses  the  relations  of  the  Oxford  Move- 
ment to  the  spirit  of  romanticism.  (Compare  Section  1 66.)  Realism, 
democracy,  and  the  scientific  spirit  are  characteristic  of  the  nineteenth 
century  from  Iceland  to  Greece,  and  from  Japan  to  Chili.  —  There  are 
common  elements,  due  to  historical  conditions,  in  the  Catholicism  of 
Manzoni,  Newman,  Fogazzaro,  and  Sienkiewicz. 

1  De  Lomenie  :  Revue  des  Deux  Mondes,  December,  1857.     (Maigron.) 


196  THE   STUDY   OF  A  NOVEL 

The  general  method  of  conceiving  an  historical  episode 
belongs  to  social  psychology,  the  identification  of  particular 
periods  belongs  to  history ;  but  a  few  points  may  be  noted 
here,  as  having  a  direct  bearing  on  the  study  of  fiction. 

An  epoch  may  be  characterized  by  a  single  condensed 
formula.  Carlyle  summarized  the  age  of  Hume  and  Vol- 
taire as  "the  century  of  scepticism."  Garnett  affirms  that 
in  all  countries  the  present  time  is  "an  age  of  literary 
anarchy."  Such  brilliant  critical  formulas  are  often  ex- 
tremely helpful,  but  in  mature  study  they  are  associated 
with  more  extensive  criticism,  and  with  patient  inductive 
analysis  of  the  literature  itself.  It  may  be  confusing  at 
first  to  attempt  to  unify  the  various  critical  conceptions  of 
the  romantic  movement,  and  its  various  artistic  expressions 
in  fiction,  but  such  a  process  has  finally  a  rich  reward. 

Some  periods  are  more  easily  unified  than  others ;  but  all 
may  be  viewed  as  transitional,  in  all  appear  the  phenomena 
of  current  and  undercurrent,  of  reminiscence  and  fore- 
shadowing. In  poetical  language,  — 

"...  each  age  is  a  dream  that  is  dying, 
Or  one  that  is  coming  to  birth." l 

The  simplest  studies  of  historical  influence  are  found 
in  fiction  representative  of  the  complete,  unvexed  mastery 
of  clearly  defined  ideas ;  but  there  is  deeper  human  inter- 
est in  works  revealing  a  movement  in  faint  process  of 
formation  or  of  unconscious  decline,  or  works  in  which  two 
distinct  forces  rise  into  conflict  or  agree  on  cooperation. 

The  rationalism  of  the  eighteenth  century  is  found,  in  comparatively 
pure  form,  in  Defoe;  its  cynical  scepticism  in  Swift.  The  Castle  of 
Otranto,  while  considered  the  original  Gothic  romance  in  English  fiction, 
b  still  plainly  under  the  influence  of  pseudo-classicism.  Fielding  is 

1  O'Shaughnessy. 


THE   SHAPING   FORCES  197 

a  pronounced  realist,  but  he  is  influenced  by  reaction  from  Richardson. 
In  Smollett  there  are  traces  of  Gothic  imagination,  interpreted  in  both 
serious  and  burlesque  spirit.  The  realism  of  Jane  Austen  is  consciously 
hostile  to  the  sentimental  novel.  Scott  is  not  free  from  the  eighteenth 
century  manner.  —  In  historical  fiction,  it  is  interesting  to  compare  the 
influence  of  the  period  in  which  the  novelist  imagines  with  that  of  the 
time  in  which  he  lives.  Some  transformation  of  the  historical  into 
the  contemporary  is  inevitable,  though  not  always  as  clear  and  conscious 
as  it  is  in  the  Idylls  of  the  King. 

The  foliage  and  blossoms  of  the  historical  growth  may 
be  political,  religious,  or  artistic ;  but  the  psychological 
roots  are  deeper  than  all  such  distinctions,  and  are  often 
difficult  to  discover.  The  general  philosophical  attitude  of 
a  period,  and  its  dominant  form  of  social  organization 
always  influence  its  fiction,  but  not  always  in  simple  and 
direct  manner.  The  Zeitgeist  may  mould  the  outline  of 
plot,  the  grouping  of  characters,  and  other  obvious  elements 
of  structure ;  or  it  may  be  traced  only  in  the  emotional  tone 
and  the  stylistic  quality  of  the  work  as  a  whole. 

The  identification  of  very  limited  periods  is  usually  a  task  for  the 
specialist.  As  one's  acquaintance  with  general  history  and  with  the 
history  of  fiction  deepens,  it  may  be  possible  to  discern  the  special  note 
of  a  single  generation  or  even  a  single  decade.  The  climactic  vogue  of 
English  sentimentalism  probably  endured  for  little  more  than  a  genera- 
tion. In  another  field,  Professor  Felix  Schelling  marks  the  last  decade 
of  the  sixteenth  century  as  the  "  time  of  the  sonnet." l 

157.  Immediate  Social  Environment.  —  A  novelist  is 
probably  always  influenced  during  composition  by  the 
social  environment  in  which  he  has  lived  or  is  living. 
This  fact  may  be  most  apparent  when  such  environment 
is  directly  studied  in  a  novel,  or  is  consciously  selected  for 
the  sake  of  artistic  stimulus.  Individual  novels  show  the 
special  influences  of  domestic,  industrial,  or  professional 

1  Elizabethan  Lyrics. 


198  THE  STUDY   OF  A  NOVEL 

conditions,  of  city  or  country  residence,  of  the  court  or  the 
frontier,  of  social  prestige  or  exile. 

The  influence  of  immediate  social  environment  is  particularly  clear 
in  Jane  Austen.  —  Note  also  the  effect  of  domestic  life  on  George  Eliot ; 

—  of  political  ostracism  on  Bunyan,  Defoe,  Pushkin,  and  Hugo  ;  —  of 
court  life  on  The  Princess  of  Cleves  ;  —  of  country  residence  on  Hardy ; 

—  of  intimate  acquaintance  with  both  the  aristocracy  and  the  peasantry 
on  Tolstoi  ;  —  of  Abbotsford  and  Edinburgh  on  Scott ;  —  of  London 
on  Fielding  and  Dickens  ;  —  of  Madrid  society  on  La  Espuma ;  —  of 
club-life  on  Sir  Roger  de  Coverley ;  —  of  legal  environment  on  Fielding 
and  Scott ;  —  of  medical  environment  on  Smollett ;  —  of  ecclesiastical 
environment  on  Charles  Kingsley,  Newman,  and  Trollope;  —  of  the 
free  social  life  of  the  West  on  Hamlin  Garland. 

158.  Human  Nature.  —  Every  artist  is  a  unique  indi- 
vidual, and  at  the  same  time  representative  of  limited 
areas  of  national,  racial,  and  historical  conditions;  he  is 
never  an  "  Everyman  "  or  a  "  Humanum  Genus."  Yet,  in 
the  belief  of  many  critics,  the  more  deeply  he  is  influenced 
by  human  nature  in  general,  the  greater  is  his  artistic  sig- 
nificance. The  idea  of  a  direct  supernatural  influence 
upon  the  artist  has  little  weight  at  present. 

In  subject  and  in  form,  most  novels  embody  some  of  the 
familiar  conceptions  of  human  nature  found  in  poetry, 
sociology,  or  ethics.  Among  the  creative  forces  in  fiction, 
are  love  of  story ;  craving  for  emotion,  for  self-expression, 
and  for  sympathy ;  practical  or  speculative  interest  in  the 
relations  of  body  and  soul,  and  in  man's  destiny ;  rebellion 
against  the  irrational  element  in  life,  sense  of  illusion,  and 
eager  search  for  reality. 

In  some  novels  of  social  reform,  one  could  imagine  the  Lancelot 
reader  exclaiming, — 

"...  What  name  hast  thou 
That  ridest  here  so  blindly  and  so  hard  ?" 

and  the  Pelleas  author  crying  in  answer,  — 


THE   SHAPING   FORCES  199 

"  I  have  no  name  ...  a  scourge  am  I, 
To  lash  the  treasons  of  the  Table  Round." 

Trace  in  the  novel  the  conceptions  of  humanity  in  Matthew  Arnold's 
poem,  "  A  wanderer  is  man  from  his  birth  "  ;  in  Pope's  Essay  on  Man  ; 
in  Hamlet's  "  what  a  piece  of  work  is  man,"  etc. ;  in  Amphibian,  aud 
many  other  poems  of  Browning. 

There  is  scarcely  a  great  novel  that  does  not  illustrate  the  concep- 
tion, "man  is  the  political  animal."  —  Biological  ideas  of  man's  place  in 
the  universe  of  life  are  influential  upon  the  naturalists. 

The  scope  of  a  novel  is  great  enough  to  represent  a 
great  variety  of  persistent  human  impulses.  The  single 
lyric  often  records  a  transitory  and  exceptional  exultation 
of  soul  or  depression  of  physical  vitality ;  a  painting  may 
express  a  passion  for  nature,  a  dream  of  the  supernatural, 
or  an  aesthetic  delight  in  human  beauty,  of  a  quality  not 
to  be  called  universal. 

Contrast  the  lyrical,  pictorial  feeling,  characteristic  of  Elizabethan 
poetry,  in  Lodge's  lines,  — 

"  Her  cheeks  are  like  the  blushing  cloud 
That  beautifies  Aurora's  face,  .  .  . 

Her  lips  are  like  two  budded  roses 
Whom  ranks  of  lilies  neighbor  nigh," 

with  George  Eliot's  novelistic  appeal  to  "all  who  love  human  faces 
best  for  what  they  tell  of  human  experience." 

The  medium  of  expression  in  literature  —  language  — 
is  more  inherently  and  profoundly  human  than  that  of 
any  other  art ;  and  in  some  respects  the  special  language 
of  the  novel  is  more  human  than  that  of  other  forms  of 
literature. 

159.  The  Influence  of  Nature.  —  In  a  real  if  somewhat 
vague  sense,  the  novel  may  be  viewed  as  ultimately  a  prod- 
uct of  natural  forces ;  as  one  phase  of  the  general  mani- 


200  THE   STUDY   OF   A  NOVEL 

festation  of  life.  One  important  critical  application  of 
this  view  is  found  in  the  idea  of  the  Evolution  des  genres. 
This  idea  partly  guided  Taine  in  his  History  of  English 
Literature,  and  has  since  been  clarified  and  developed.1 
A  few  points  respecting  the  comparison  of  the  novel  with 
a  biological  species  may  be  noted  :  — 

(i)  The  biological  phenomena  of  struggle  for  existence, 
survival  of  the  fittest,  hybrid  forms,  individual  variation, 
etc.,  find  easy  analogies  in  the  history  of  fiction.  (2)  At- 
tempts at  a  scientific  classification  of  fiction  seem  arbi- 
trary, compared  with  the  classifications  of  botany  and 
zoology.  In  the  novel  there  are  few  if  any  types  with 
characteristics  fixed  and  organic  enough  to  determine  a  sat- 
isfactory classification  of  individual  works.  The  difference 
between  a  hermit-thrush  and  a  meadow-lark  is  stable, 
objective,  and  determines  at  once  the  systematic  position 
of  individual  birds.  The  difference  between  a  pastoral 
romance  and  a  picaresque  novel  is  distinct  enough  in 
theory,  but  there  is  no  law  forbidding  a  combination  of 
both  types  in  a  single  work.  (3)  The  novel  itself  is  not 
a  form  of  life,  and  has  reproductive  power  only  through 
agencies  totally  unlike  itself.  (4)  The  processes  of  nature 
which  fashion,  modify,  perpetuate,  or  destroy  species  are 
mainly  unconscious.  This  law  has  a  certain  analogy  in 
fiction,  if  one  considers  society ;  but  the  will  of  the  indi- 
vidual artist  is  a  most  significant  factor.  Human  agency 
may  of  course  considerably  modify  natural  species,  within 
a  limited  area.  (5)  The  entire  evolution  of  the  novel  covers 
an  insignificant  period,  compared  with  the  duration  of 
biological  evolution.  (6)  The  phenomena  of  local  habitat 
have  partial,  but  only  partial,  analogies  in  the  field  of  fiction. 

1  Its  specific  application  to  the  novel  is  briefly  discussed  in  Stoddard's 
introduction. 


THE   SHAPING  FORCES  2OI 

In  national  literatures  and  in  single  novels,  the  influence 
of  external  nature  is  often  apparent.  Individual  languages 
are  modified  by  climatic  and  topographical  environment. 
Russian  fiction  seems  influenced  by  the  vastness  of  the 
plains ;  Scandinavian  fiction  by  majesty  of  mountains  and 
beauty  of  fiords ;  American  fiction  by  primitive  landscape 
and  nerve-stimulating  climate. 

Mrs.  Shelley  was  clearly  moved  by  the  scenery  of  Switzerland  while 
composing  Frankenstein.  —  Oscar  Browning  notes  that  the  climate  of 
England  depressed  George  Eliot,  and  thinks  she  would  have  been 
happier  if  she  had  lived  more  abroad. — In  the  preface  to  Dombey  and 
Son,  Dickens  gives  this  evidence  of  the  intimate  association  of  natural 
environment  with  the  creative  imagination:  —  "at  this  day  ...  I  yet 
confusedly  imagine  Captain  Cuttle  as  secluding  himself  from  Mrs. 
MacStinger  among  the  mountains  of  Switzerland.  Similarly,  when  I 
am  reminded  ...  of  what  it  was  that  the  waves  were  always  saying, 
I  wander  in  my  fancy  for  a  whole  winter  night  about  the  streets  of 
Paris  ...  as  I  really  did,  with  a  heavy  heart,  on  the  night  when  my 
little  friend  and  I  parted  company  forever." 


CHAPTER  XI 
THE   INFLUENCE   OF   A   NOVEL 

1 60.  Popularity  of  Fiction.  —  Few  extended  discussions 
of  fiction  fail  to  emphasize  the  importance,  from  either  the 
aesthetic  or  the  ethical  point  of  view,  of  its  wide  popularity. 
This  popularity  has  been  variously  developed  in  different 
regions,  has  shifted  from  type  to  type,  and  has  known  pe- 
riods of  critical  hostility ;  but  on  the  whole,  its  endurance 
for  centuries  is  a  notable  fact  of  literary  history. 

The  conditions  of  the  later  nineteenth  century  need  no  illustration. 
The  following  are  representative  testimonies  of  an  earlier  period. — 
Defoe  wrote  in  the  preface  of  Moll  Flanders,  "  The  world  is  so  taken  up 
of  late  with  Novels  and  Romances,  that  it  will  be  hard  for  a  private 
history  to  be  taken  for  genuine."  —  In  1773,  a  writer  in  the  Gentle- 
man's Magazine  speaks  of  "  this  novel-writing  age."  That  magazine 
lists  about  140  novels  for  the  decade  1770-1780,  40  being  noted  for  the 
single  year  1771.  —  Miss  Reeve  wrote  in  1785  of  'the  press  groaning  be- 
neath the  weight  of  Novels,' so  numerous  that  they  had  become  a  "pub- 
lic evil."  —  In  1810,  an  editor  of  Richardson  declared,  "those  who  are 
most  important  in  the  ranks  of  civilized  life,  read  scarcely  anything  else" 
but  novels. 

Popularity  does  not  necessarily  mean  a  real  and  deep 
influence.  Some  critics  believe  that  the  novel  reveals  the 
existing  mental  condition  of  its  readers,  rather  than  alters 
it.  Even  if  this  were  the  complete  truth,  a  study  of  the 
vogue  of  a  novel  would  throw  light  on  social  attitude  ;  but 
in  many  cases  it  seems  that  a  novel  is,  for  practical  pur- 
poses, a  new  influence  in  society. 

202 


THE   INFLUENCE   OF   A   NOVEL  203 

Coleridge  declares  that  u  all  the  evil  achieved  by  Hobbes,  and  the 
whole  School  of  Materialists  will  appear  inconsiderable,  if  it  be  com- 
pared with  the  mischief  effected  and  occasioned  by  the  sentimental 
Philosophy  of  Sterne  and  his  numerous  imitators." i 

161.  The  Data.  —  Bibliographical  facts  furnish  a  practi 
cal  basis   for  the   examination  of  the  vogue  of  a   novel. 
Comparison  of  critical  opinions,  imitations,  parodies,  dram- 
atizations, etc.,  serves  to  indicate  the  effect  upon  different 
historical  periods  and  social  groups.     Biographical  docu- 
ments record  the  reception  of  a  novel  by  famous  individ- 
uals.    The   private  opinions  of   the   common  reader  and 
his  circle  of  acquaintance  may  be  reviewed  in  a  critical 
spirit,  with  allowance  for  the  personal  equation.     These 
are  all  external  data.     After  they  are  collected  and  ex- 
amined, one  may  return  to  the  novel  itself,  for  a  more  care- 
ful study  of  the  probable  causes  of  influence. 

For  a  merely  statistical  basis  of  comparison,  it  might  be  well  to  estab- 
lish certain  norms  of  circulation.  The  following  data  of  editions  and 
sales  are  illustrative. 

Editions:  —  Silas  Marner  (1861),  seventh,  1861  ;  Adam  Bede  (1859), 
seventh,  1859,  tenth,  1862 ;  — Sidney's  Arcadia  (1590),  ten  in  fifty 
years;  —  Soil  und  Haben  (1855),  fifty-fourth,  1901;  —  Frau  Sorge 
(1887),  fifty-fourth.  1900 ;  —  Ekkehard  (1862),  one-hundred  and  seventy- 
seventh,  1900.  Sales:  —  Adam  Bede,  16,000  in  1859  ;  —  Soil  und  Haben, 
100,000  by  1887; — in  1892,  La  Ddbacle,  110,000;  L'Assommoir, 
124.000;  Nana,  166,000; — Uncle  Tom's  Cabin  (in  book  form,  1852), 
1,000,000  in  England,  150,000  in  America,  first  year.  "  The  sale  of 
Uncle  Tom's  Cabin  is  the  most  marvelous  literary  phenomenon  that  the 
world  has  witnessed."  (Senior.) 

162.  Time   Distribution.  —  The    essential    elements    of 
appeal  in  a  novel  may  be  as  old  as  human  nature.     Some 
of   the  elements   of   novelistic   form  —  plot,  fictitious  dia- 
logue, character  grouping,  etc.  —  are  perhaps  older  than 

1  Aids  to  Reflection;   On  Sensibility. 


204  THE   STUDY   OF  A  NOVEL 

written  language.  Specific  situations,  plot-outlines  and 
character-types  are  often  of  great  antiquity.  If  separate 
types  of  fiction  are  narrowly  defined,  there  are  several 
which  have  all  the  historical  interest  of  extinct  species. 

The  romance  of  chivalry,  roughly  speaking,  had  a  vogue  of  some  two 
centuries.  —  Pastoral  romance  arose  in  the  decadent  period  of  Greek 
literature,  was  revived  in  the  Renaissance,  and  practically  disappeared 
as  a  type  in  the  seventeenth  century.  —  The  heroic  romance  became  a 
well-defined  form  in  the  seventeenth  century :  its  death-throes,  in  the 
next  century,  are  described  in  an  interesting  manner  in  Miss  Reeve's 
Progress  of  Romance. 

By  the  "  lifetime  "  of  an  individual  work,  one  may  mean 
general  popularity,  vital  significance,  as  distinguished  from 
mere  historical  interest,  for  the  select  few,  or  enduring  rep- 
utation. In  the  careful  study  of  a  famous  novel,  it  might 
be  worth  while  to  trace  its  history  somewhat  systemati- 
cally; noting,  for  example,  the  circulation  or  influence  for 
the  first  year,  the  first  decade,  then  for  each  succeeding 
generation.  A  temporary  revival  of  interest  is  a  com- 
mon phenomenon,  in  the  history  of  both  species  and  indi- 
vidual works. 

163.  Place  Distribution.  —  All  the  great  novels  have  been 
international,  not  only  in  reputation,  but  in  literary  influ- 
ence. Spielhagen  considers  that  the  exposition  of  a  na- 
tional life  to  the  people  of  other  nations  is  one  of  the 
distinguishing  functions  of  the  modern  novel.1 

It  is  not  to  be  expected  that  the  reception  of  a  novel 
abroad  will  coincide  with  that  at  home.  When  the  differ- 
ences are  striking,  a  study  of  their  social  and  political  causes 
makes  an  interesting  part  of  the  critical  task. 

Compare  the  treatment  of  Cooper,  Julian  Hawthorne,  and  Theodore 
Winthrop  in  Nicholas  American  Literature,  with  that  by  American 

1  Technik  des  Romans;  Das  Gebiet  des  Romans. 


THE   INFLUENCE   OF   A   NOVEL  205 

critics.  —  "  The  popular  literature  of  America  is  English,  and  the  popu- 
lar literature  of  England  is  American."  (Senior.) — Edmond  Scherer 
wrote  of  George  Eliot,  in  1885,  "the  very  name  of  this  writer  ...  is 
hardly  known  among  ourselves,  and  arouses  neither  memory  nor  inter- 
est." —  Reich  names  Kemeny  as  probably  a  greater  Hungarian  novelist 
than  Jokai. 

The  data  of  translation  give  a  convenient  if  imperfect 
basis  for  judging  of  the  foreign  popularity  of  a  novel. 

Of  Robinson  Crusoe,  there  were  60  known  imitations  and  parodies  in 
Germany  before  1770. — Werther  was  honored  by  14  English  transla- 
tions, to  1854;  19  French,  to  1865;  8  Italian,  to  185755  Spanish,  to 
1876;  and  has  been  rendered  into  Danish,  Dutch,  Hungarian,  Polish, 
Swedish,  etc. —  In  1877,  I  Promessi  Sposi  had  known  116  Italian  edi- 
tions; and  had  been  translated  17  times  into  German,  19  into  French, 
10  into  English,  3  into  Spanish,  and  at  least  once  into  Dutch,  Hunga- 
rian, Russian,  Swedish,  etc. 

164.  Influence  upon  Literature.  —  No  single  novel  has 
attained  the  position  of  an  Iliad  or  a  Hamlet  in  the  world 
of  literature,  or  been  accepted  by  the  literary  academies 
as  a  standard  of  excellence  —  perhaps  Don  Quixote  ap- 
proaches such  position  as  closely  as  any  prose  fiction  — ; 
but  innumerable  novels  have  exerted  an  important  in- 
fluence upon  literature,  either  directly  or  indirectly.  The 
novelist  has  often  had  an  effective  hand  in  the  establish- 
ment or  destruction  of  literary  fashions.  He  has  often 
found  strong  disciples,  or  weak  imitators;  or  has  met  a 
spirited  reactionary  movement,  of  which  burlesque  is  one 
easily  perceived  phase. 

The  effect  of  a  novel  upon  other  works  of  prose  fiction 
is  one  of  the  most  important  and  readily  traced  lines  of 
influence.  There  are  certain  great  European  novels,  rela- 
tively few  in  number,  which  are  recognized  as  the  ances- 
tors of  the  vast  majority  of  lesser  novels.  Intimate 
acquaintance  with  these  parent  fictions  is  a  long  step 


206  THE    STUDY   OF   A   NOVEL 

toward  a  real  understanding  of  the  history  of  European 
fiction.  Of  course  all  these  novels  are  themselves  de- 
scendants as  well  as  ancestors,  but  they  may  be  considered 
as  founding  new  branches  of  the  family. 

Among  such  works  are  The  Decameron,  Amadis  of  Gaul,  Monte- 
mayor's  Diana,  Don  Quixote,  Lazarillo  de  Tormes,  Clarissa,  Werther, 
Waverley,  and  Poe's  short  stories. 

For  a  single  national  literature,  Russian  fiction,  on  account  of  its 
comparative  compactness  and  unity,  is  a  good  field  in  which  to  study 
the  influence  of  novelist  upon  novelist.  See,  for  example,  Turner  and 
Merejkowski  for  the  dynamic  relations  of  Pushkin,  Gogol,  Dostoyevsky, 
Turgenieff,  and  Tolstoi. 

The  development  of  the  novel  has  had  a  large  influence 
upon  literary  criticism.  Many  of  the  problems  of  technical 
analysis,  of  the  relations  of  art  to  science  and  morals,  etc., 
in  current  criticism,  have  been  modified  if  not  introduced 
by  the  vogue  of  prose  fiction.  In  fact,  one  occasionally 
hears  the  complaint  that  some  recent  writers  seem  to  mean, 
by  the  criticism  of  literature,  the  criticism  of  fiction. 

Wilhelm  Meister  influenced  the  critical  theory  of  Friedrich  Schlegel. 
—  George  Eliot  seems  to  have  been  an  important  factor  in  determining 
the  general  critical  position  of  Edmond  Scherer.  —  Zola's  works  have 
shaped  the  discussion  of  realism  to  an  almost  abnormal  degree.  One 
is  sometimes  in  danger  of  forgetting  that  realism  is  as  old  as  literature, 
and  that  it  is  found  in  other  arts  than  literature. 

Many  eminent  novelists  have  themselves  been  critics  of  some  note  — 
among  them,  Goethe,  Thackeray,  Hugo,  Spielhagen,  Poe,  and  Tolstoi. 
The  novelists,  as  a  class,  have  been  liberal  readers  of  works  of  fiction. 

The  novel  has  not  only  affected  popular  conceptions  of 
history,  but,  as  represented  by  the  Scott  school,  has  had 
an  appreciable  influence  upon  historical  writing.  Carlyle 
gave  some  severe  criticism  of  the  Waverley  Novels,  but 
he  praised  their  general  effect  upon  the  interpretation  of 
history. 


THE   INFLUENCE   OF   A   NOVEL  2O? 

165.  Social  Groups  in  General.  —  Under  ordinary  condi- 
tions, a  novel  reaches  one  individual  at  a  time,  and  the 
phenomenon  of  a  compact  social  group  won  to  a  "  social 
consent "  by  its  influence  is  less  common  than  in  the  case 
of  architecture,  music,  oratory,  or  the  drama. 

So  far  as  it  is  possible  to  arrive  at  a  "  determination  des 
categories  d  admiral  eurs "  (Hennequin),  the  data  may 
throw  light  upon  an  individual  novel,  and  upon  certain 
social  groups.  Preferences  in  the  reading  of  fiction  may 
show  the  unconscious  nature  of  the  reader,  his  real  emo- 
tional and  aesthetic  self,  which  lies  below  the  social  being 
the  world  knows.  Of  Giddings'  "  types  of  mind "  (see 
Section  87),  the  fourth  is  doubtless  less  easily  influenced 
by  fiction  than  the  others;  but  when  it  does  respond  to  the 
appeal  of  a  novel,  the  response  is  deserving  of  careful 
study.  Many  persons  of  critical  intellect,  however,  still 
take  the  novel  with  little  seriousness  as  compared  with 
other  forms  of  art.  The  real  students  of  the  novel  make 
a  small  class  in  any  reading  community. 

The  novel  has  probably  had  a  very  slight  influence  upon 
general  philosophy ;  but  now  and  then  fragments  of  the 
interpretation  of  life  by  the  novelist  may  have  penetrated 
the  sanctum  sanctorum  of  the  philosophers. 

Coleridge  notes  the  manner  in  which  the  conception  of  "  love  " 
passed  from  the  sentimental  novelists  to  Buffon,  other  French  natural- 
ists, and  into  Swedish  and  English  philosophy.1 

The  influence  of  fiction  upon  the  young  and  upon  women 
has  often  been  discussed.  In  early  days,  many  novels  and 
romances  were  written  mainly  for  these  social  classes ;  but 
the  modern  realist  has  claimed  the  right  to  win  an  audi- 
ence of  mature  men. 


Aids  to  Reflection  ;  On  Sensibility. 


208  THE   STUDY   OF   A   NOVEL 

The  relation  of  fiction  to  the  young  was  a  frequent  topic  in  late 
eighteenth  century  criticism.  At  the  same  time,  there  was  a  movement 
aiming  to  produce  a  better  class  of  fictions  for  youthful  readers. 

Note  the  references  to  women  readers  in  Euphues,  The  Spectator, 
The  Rape  of  the  Lock,  Pamela,  the  dramas  of  Sheridan,  etc.  Rightly 
or  wrongly,  it  is  affirmed  that  woman  is  more  likely  than  man  to  be  in- 
fluenced by  fiction  ;  more  ready  to  be  moved  by  her  likes  and  dislikes. 
Nordau  traces  the  worship  of  the  military  officer,  among  the  women  of 
Germany,  to  fiction  ;  and  declares  that  'the  Parisienne  is  completely 
the  work  of  the  French  journalists  and  novelists.' l 

1 66.  Influence  upon  Individuals.  —  A  novel  is  likely  to 
interest  the  individual  reader,  to  please  or  offend  him  in 
a  marked  degree,  because  it  brings  him  face  to  face  with 
other  strong  individuals,  with  social  groups  to  which  his 
imagination  must  adjust  itself,  and  with  a  more  or  less 
positive  interpretation  of  the  life  he  himself  knows,  in 
outline  if  not  in  detail. 

While  the  novel  is  not  characteristically  written  for  the 
"fit  audience,  though  few,"  most  of  the  great  minds  of 
Europe,  at  all  interested  in  art,  have  left  some  record  of 
their  impressions  of  this  or  that  famous  novel.  Ben  Jon- 
son  requests  every  man  in  his  audience  to  "exercise  his 
own  judgment,  and  not  censure  by  contagion."  2  The  fear 
of  a  critical  "  contagion  "  may  sometimes  drive  an  inde- 
pendent mind  into  fantastic  revolt  against  the  popular 
judgment ;  but  the  candid  opinion  of  a  single  honest  thinker 
is  worth  weighing,  even  in  the  criticism  of  a  novel.  It  is 
part  of  that  entire  body  of  mental  experiences  in  which  the 
individual  novel  is  a  real  element. 

Gray's  comments  upon  The  Castle  of  Otranto  and  upon  Ossian 
make  interesting  reading.  —  Samuel  Johnson  was  a  passionate  lover  of 
romance,  in  spite  of  his  didactic  criticism  of  it ;  and  he  attributed  his 

1  Paradoxes  :  The  Natural  History  of  Love  ;  The  Import  of  Fiction. 

2  Induction  to  Bartholomew  Fair. 


THE   INFLUENCE   OF   A   NOVEL  209 

failure  to  settle  in  a  regular  profession  to  its  influence.  (Quoted  in 
Boswell,  from  Bishop  Percy.)  —  Burns'  fondness  for  The  Man  of  Feel- 
ing throws  some  light  upon  that  novel,  upon  Burns,  and  upon  the 
social  psychology  of  his  time.  — Wesley  thought  that  The  Fool  of  Quality 
was  "  one  of  the  most  beautiful  pictures  that  ever  was  drawn  in  the 
world."  —  Examine  the  comment  on  fiction  by  St.  Augustine,  Coleridge, 
Goethe,  Cardinal  Newman,  Ruskin,  and  Tolstoi. 

167.  Kind  and  Degree  of  Influence.  —  These  will  depend, 
in  part,  upon   the  reader's  intimacy  with   the   individual 
work.     There  seems  to   be  no  valid   reason  why  a  truly 
great  novel  should  not  be  studied  as  carefully  as  a  great 
drama  or  epic ;  but  such  study  is  rare,  and  the  full  effect 
of  the  novel  is  not  often  realized.     For  complete  criticism, 
a  work  of   fiction   should   be   accepted  as  a  part  of  real 
personal  experience,  emotional  and  imaginative ;  and  also 
examined  intellectually,  as  a  part  of  the  world  outside  of 
one's  personality. 

To  the  ordinary  mind,  the  evidences  of  labor  and  of 
technical  mastery  are  more  noticeable  in  painting  or  archi- 
tecture than  in  literature.  Again,  some  alertness  of  the 
senses  is  required  before  one  can  comprehend  the  real 
meaning  of  a  spatial  work  of  art.  The  physical  sense  of 
weariness  may  be  related  to  the  impression  of  architectural 
sublimity ;  the  crescendos  and  diminuendos  of  the  or- 
chestra challenge  the  mental  activity  of  the  listener.  In 
the  novel,  one  may  gain  a  certain  comprehension  of  the 
work  in  a  comparatively  passive  attitude  of  mind.  There 
is  nothing  objective  to  stir  and  stimulate  attention.  Yet 
the  full  evaluation  of  a  novel  is  to  be  reached  only  by  a 
genuine  and  persistent  effort.  Like  all  other  real  values, 
this  also  must  be  purchased  by  an  expenditure  of  life  itself. 

1 68.  Perceptual  Effect.  —  No   two  readers  ever  receive 
exactly  the  same  impressions  from  the  sensuous  imagery 


210  THE   STUDY   OF   A   NOVEL 

of  a  novel.  In  this  respect,  as  in  others,  Julian  Haw 
thorne's  statement  that  it  takes  two  to  make  a  novel,  the 
author  and  the  reader,  can  be  readily  understood.  Just 
how  far  the  reader  should  attempt  to  reexperience  the 
sensuous  values  the  author  has  observed  or  imagined,  is 
a  matter  for  general  aesthetic  theory,  or  for  private  opinion. 
It  will  task  the  average  reader  to  follow  the  author  closely 
into  details ;  on  the  other  hand,  there  is  no  law  forbidding 
one  to  see  and  hear  with  more  acute  senses  than  those 
of  the  novelist.  While  there  may  at  times  be  danger  of 
the  trees  obscuring  the  forest,  it  is  sometimes  the  single 
tree,  even  the  single  branch,  twig,  leaf,  that  one  wishes 
to  see. 

The  senses  to  which  most  immediate  and  persistent 
appeal  is  made  in  the  novel  are  those  of  sight  and  sound. 
The  visual  imagery  includes  the  appearance  of  the  charac- 
ters, singly  and  in  groups,  and  the  masses  and  details  of 
the  spatial  background.  Riemann  gives  a  definition  of 
the  " pantomimischer  Roman  "  —  i.e.,  one  in  which  more  is 
seen  than  heard. l 

Resolving  the  descriptions  in  the  Conclusion  of  Silas  Marner  into 
"ultimate  points"  of  visual  imagery,  one  will  find  some  thirty  details. 
These  vary  in  scope  from  the  pink  sprigs  on  Eppie's  dress  and  the 
"  dash  of  gold  on  a  lilv,"  to  the  vision  of  the  wedding  procession  and 
the  Rainbow  group,  as  wholes. 

A  study  rather  common  at  the  present  time  is  that  of  the  color 
imagery  of  poetry.  The  contrasts,  in  this  respect,  between  pseudo- 
classicism,  romanticism,  and  realism,  could  be  traced  in  prose  fiction 
also. 

In  the  domain  of  sound,  the  essential  appeal  of  the 
novel  is  in  the  utterance  of  the  dramatis  personae ;  though 
there  is  often  a  great  variety  of  sounds  in  nature,  and  in 

1  p.  232. 


THE   INFLUENCE   OF   A   NOVEL  211 

the  occupations  of  social  life.  The  voice  of  a  character 
can  be  more  completely  realized  by  reading  his  speeches 
aloud. 

Frankenstein  has  a  well-defined  imagery  of  sound.  Note  the  use 
of  such  terms  as  crack,  roar,  shriek,  gurgling,  groan,  howling,  thunder 
of  the  ground  sea. 

Compare  the  last  sections  of  Chapter  I,  and  Section  95. 

The  imagery,  if  it  may  so  be  called,  of  touch  and  smell,  can  be 
studied  to  advantage  in  modern  naturalism  and  symbolism  —  in  Zola, 
Tolstoi,  d'Annunzio,  and  van  Eeden,  for  example.  Vathek,  with  its 
rich  Orientalism,  also  makes  a  noteworthy  appeal  to  these  senses,  con- 
sidering its  early  date. 

169.  Sensational  Effect.  —  In  the  present  connection, 
sensation  may  be  denned  as  emotion  associated  with  con- 
sciousness of  related  physical  condition.  The  novel  may 
arouse  sensations  by  direct  description,  or  by  subtle  sugges- 
tion to  the  imagination  or  memory  of  the  reader.  It  cannot 
picture  their  visible  effects,  as  can  painting  or  the  stage 
drama;  but  it  can  go  into  very  minute  analysis  of  their 
nature,  and  their  relations  to  the  individual  and  his  envi- 
ronment—  it  can  make  them  appear  in  the  "warmth"  of 
concrete  experience. 

Sensation  would  seem  to  be  not  only  a  legitimate  but 
a  necessary  effect,  if  the  canon  of  comprehensiveness 
is  applied  to  the  influence  as  well  as  the  subject  of  a 
novel.  The  "  sensational  novel,"  in  the  usual  meaning,  is 
one  in  which  this  phase  of  experience  is  emphasized  be- 
yond its  true  proportion,  inadequately  motived,  or  given 
a  morbid  tendency.  Sensational  effect  is  common  in  both 
romantic  and  naturalistic  schools.  It  is  often  of  a  languor- 
ous and  melancholy  type  in  the  sentimental  novel,  and 
of  a  more  active  and  intense  type  in  Gothic  romance. 
Many  realists  inherit  the  romantic  craving  for  sensation, 


212  THE    STUDY   OF   A  NOVEL 

and  some  are  even  inclined  to  find  it  the  essence  of  per- 
sonal experience. 

In  the  preface  of  Frankenstein,  Mrs.  Shelley  gives  this  frank  testi- 
mony of  the  Gothic  romancer :  "  Oh  if  I  could  only  .  .  .  frighten  my 
reader  as  I  myself  had  been  frightened  that  night  !  .  .  .  I  have  found 
it  !  What  terrified  me  will  terrify  others ;  and  I  need  only  describe 
the  specter  which  had  haunted  my  midnight  pillow." 

170.  Emotional  Effect.  —  Probably  no  other  form  of  art 
can  compete  with  the  novel  in  the  sum  total  of  emotional 
appeal.  The  short  story,  the  lyric,  the  drama,  and  music, 
may  each  excel  in  this  or  that  particular ;  but  for  a  com- 
bination of  variety,  intensity,  concreteness,  reality,  of  ex- 
hibition and  interpretation,  of  sustained  rhythms  of  excite- 
ment and  repose,  the  novel  is  the  best  medium.  It  is 
perhaps  this  fact  —  of  opportunity  —  that  has  suggested 
the  theory  that  the  study  of  emotion  is  the  true  function 
of  the  novel. 

The  reader  may  enter  by  mere  imagination  into  the  emo- 
tions of  the  dramatis  personae  or  the  author ;  or  he  may  be 
moved  more  directly  by  situations  and  sentiments  which 
touch  his  own  emotional  experience,  present  or  past.  It 
is  doubtful  if  the  novel  ever  arouses  strong  emotions 
entirely  unknown  to  the  reader  before. 

One  may  follow  the  "line  of  emotion"  for  the  reader, 
as  for  the  dramatis  personae  ;  and  also  study  the  general 
result  at  the  conclusion.  Strong  dominant  emotions  may 
be  aroused,  or  a  sequence  of  minor  ones  ;  the  effect  may  be 
one  of  stability  or  of  rapid  transition,  of  harmony  or  dis- 
cord, of  sympathy  or  antagonism  —  toward  a  character, 
the  author,  or  life  in  general. 

The  Aristotelian  doctrine  of  catharsis  may  be  discussed 
with  reference  to  the  novel  as  well  as  the  drama.  The 
ethical  question  whether  the  emotional  energy  the  reader 


THE   INFLUENCE   OF  A  NOVEL  213 

spends  upon  fictitious  characters  weakens  his  emotional 
power  in  real  life  is  relevant  in  this  connection.  Some 
critics  affirm  that  the  novel  performs  a  special  service  to 
the  present  age,  in  that  it  allows  the  reader  a  free,  natural, 
healthful  flow  of  feeling,  which,  according  to  current 
standards  of  social  taste,  must  be  repressed  in  real  life. 

Criticism  attempts  to  distinguish  between  emotional 
effects  which  are  truly  aesthetic,  and  those  which  are  not. 
To  the  first  class  belong  delight  in  the  technical  mastery 
of  the  artist,  the  sense  of  '  difficulty  overcome,'  imaginative 
pleasure  in  the  picture  of  life,  whether  it  be  joyful  or  sad, 
etc. ;  to  the  second  class,  all  emotions  associated  with  the 
personal  experiences,  antipathies  and  sympathies  of  the 
individual  reader.  The  properly  aesthetic  emotions  do  not 
lead  to  any  external  activity ;  they  never  become  real  pas- 
sions. This  distinction  may  aid  one  in  the  analysis  of 
effects,  but  in  many  cases  it  seems  a  rather  arbitrary  and 
sterile  antithesis. 

171.  Conceptual  Effect. — The  reader  who  is  concerned 
only  with  the  story  element  of  a  novel  will  not  give  much 
attention  to  the  facts  and  ideas  it  contains,  as  independent 
values.  Compare,  however,  the  opinions  quoted  in  Section 
119.  In  a  well-unified  novel,  even  the  most  abstract  ideas 
are  part  of  the  general  artistic  plan,  and  the  story  itself 
cannot  be  completely  realized  without  an  understanding 
of  their  relation  to  characters  and  events. 

Most  novels  give  a  certain  amount  of  information  new 
to  the  reader,  and  a  certain  number  of  ideas,  either  new  in 
themselves  or  their  relations,  or  calling  for  a  fresh  effort 
at  clear  conception. 

The  analysis  given  in  the  chapter  on  Subject-matter 
may  serve  as  a  guide  to  an  intensive  study  of  conceptual 
effects. 


214  THE   STUDY   OF   A   NOVEL 

172.  Volitional  Effect.  —  Whether  considered  important 
for  its  artistic  value  or  not,  the  novel  has  often  influenced 
the  will  and  the  active  life  of  individuals  and  social  groups. 
It  has  fostered  the  "  will  to  believe,"  and  the  will  to  doubt ; 
the  spirit  of  submission  to  social  law,  and  the  spirit  of  rebel- 
lion ;  the  resolution  to  live  more  deeply,  and  the  purpose 
to  escape  the  problematic  experiences  of  life  so  far  as  pos- 
sible.    One  may  readily  admit  that  it  is  not  always,  perhaps 
not  usually,  the  fictions  that  are  greatest  as  works  of  art 
which  have  had  the  most  emphatic  effect  upon  the  actions 
of  men ;  but  such  effect  could  hardly  be  omitted  in  a  gen- 
eral study  of  the  novel.     Again,  such  effect  may  or  may 
not  have  been  intended  by  the  author ;  and  criticism  does 
not  necessarily  lay  the  full  burden  of  responsibility  for 
evil  result  upon  him,  or  grant  to  him  the  undivided  laurel 
wreath  for  noble  result. 

Werther  was  the  immediate  occasion,  at  least,  of  many  suicides.  — 
Religious  restlessness  and  scepticism  have  doubtless  been  increased  by 
many  modern  realistic  novels.  On  the  other  hand,  the  novelists  have 
had  a  share  in  bringing  about  a  revival  of  religious  reverence  in  the  last 
few  decades.  —  Scott  thought  that  many  "  hitherto  indifferent  upon  the 
subject,  have  been  induced  to  read  Scottish  history,  from  the  allusions 
to  it"  in  the  Waverley  Novels.  (Introduction  to  The  Bride  of  Lam- 
mermoor,  1829.) — The  influence  of  Turgenieff  and  Mrs.  Stowe  upon 
the  emancipation  movement  of  the  last  century  is  a  matter  of  general 
knowledge ;  as  is  the  effect  of  Dickens'  fiction  upon  certain  social  re- 
forms. —  Occasionally  a  definite  institution  is  partially  the  result  of  a 
novel.  All  Sorts  and  Conditions  of  Men  was  a  strong  influence  in  the 
establishment  of  The  People's  Palace  in  London. 

173.  The  Influencing  Elements.  — To  appreciate  a  novel 
correctly,  it  is  doubtless  necessary  to  feel  its  total  effect  as 
a  unified  work ;  but  in  many  cases,  separate  elements  have 
very  separate  effects.     That  which  appeals  to  one  reader 
may  offend  another ;  that  which  moves  us  at  one  time  may 


THE   INFLUENCE   OF  A  NOVEL  21$ 

prove  cold  and  ineffective  at  another.  According  to  Bru- 
netiere,  it  is  as  important  that  one  should  know  why  one 
likes  or  dislikes,  in  literature,  as  that  one  should  like  or 
dislike  correctly. 

The  professional  critic,  or  the  professional  novelist,  may 
be  too  much  inclined  to  emphasize  the  technical  excellence 
or  defect  of  a  work ;  but  no  adequate  judgment  of  a  novel 
can  be  made  without  some  knowledge  of  technic.  At  the 
present  time,  the  layman  can  easily  acquire  a  reasonable 
equipment  for  this  purpose.  If  the  American  reader  is 
still  likely  to  neglect  the  values  of  form  in  a  novel,  it  is  not 
too  late  to  quote  Lanier's  opinion,  given  some  twenty  years 
ago:  —  "How  strange,  then,  the  furtive  apprehension  of 
danger  lying  behind  too  much  knowledge  of  form,  too  much 
technic,  which  one  is  amazed  to  find  prevailing  in  our  own 
country."  1 

Every  judgment  on  the  higher  values  of  a  novel,  on  its 
human  experiences  and  philosophy  of  life,  is  a  self-judg- 
ment of  the  critic.  Absolute  refusal  to  receive  an  influence 
may  indicate  as  marked  a  weakness  as  too  great  readiness 
of  assent  to  the  novelist's  appeal. 

Publishers  give  testimony  that  the  title  exerts  a  strong  influence 
over  the  average  reader ;  at  least  before  he  knows  a  work.  —  Robin- 
son Crusoe,  Gulliver,  and  Don  Quixote  are  familiar  examples  of 
fictions  which  have  a  very  different  effect  upon  the  juvenile  and  upon 
the  mature  reader.  Robinson  Crusoe  appeals  to  the  boy  as  a  stirring 
tale  of  adventure  ;  to  the  critic,  a  primary  interest  lies  in  the  marvelous 
verisimilitude,  and  the  method  of  attaining  it ;  to  the  reflective  mind, 
the  philosophical  views  of  society,  industry,  and  religion  are  of  great 
historical  value.  In  Gulliver,  the  political  and  social  satire,  the  bitter 
misanthropy,  escape  the  young  reader.  In  Don  Quixote,  the  humor 
reaches  the  majority  of  readers  ;  the  depth  of  pathos  is  fully  felt  only  by 
a  minority. 

1  The  English  Novel,  p.  30. 


216  THE   STUDY   OF   A   NOVEL 

Scott's  comment  on  the  reception  of  the  Waverley  Novels  gives 
many  examples  of  the  effect  of  separate  elements.  He  defends,  on 
ethical  grounds,  the  catastrophe  of  Ivanhoe,  which  was  attacked  by 
the  critics.  He  recognized  the  failure  of  Sir  Piercie  Shafton,  in  The 
Monastery,  and  repeatedly  refers  to  the  poor  effect  of  the  White  Lady 
in  the  same  romance.  The  success  of  Mary,  in  The  Abbott,  led  him 
to  attempt  Elizabeth,  in  Kenilworth. 

174.  The  Causes  of  Influence.  —  A  study  of  causes  may 
easily  lead  one  into  difficulties,  in  literary  criticism,  as  in 
history,  ethics,  or  biology.  As  plant-growth  may  be  said 
to  depend  upon  the  seed,  the  soil,  and  atmospheric  condi- 
tions; the  influence  of  a  novel  depends  upon  the  novel,  the 
reader,  and  the  social  conditions.  Perhaps  the  analogy  is 
not  exact,  but  it  may  be  suggestive.  In  the  case  of  con- 
temporaneous effect,  the  author  and  reader  are  often  under 
the  same  general  social  influences,  for  which  the  novel  is 
simply  a  distributing  point. 

The  novel  has  this  advantage  over  legal  documents  and 
perhaps  over  religious  creeds,  as  a  test  of  real  character, 
that  it  often  reaches  the  sub-conscious  self,  catches  the 
reader  unawares,  so  to  speak.  The  unconscious  optimism 
of  a  man  who  believes  himself  a  pessimist  may  be  shown 
by  his  choice  of  fiction.  A  reader  who  nominally  accepts 
a  creed  of  renunciation  of  the  fleshly  appetites  may  crave 
the  sensationalism  of  debased  passions,  and  find  it  in  the 
novel.  In  the  individual  or  in  social  groups  this  uncon- 
scious or  covert  self  may  later  show  itself  in  a  more  public 
manner.  The  taste  for  sentimental  literature  in  the  middle 
of  the  eighteenth  century  might  have  foreshadowed,  to  the 
acute  critic,  the  upheavals  of  the  French  Revolution  period. 
Often  a  mental  craving,  revealed  in  literary  taste,  is  at  first 
semi-humorous,  but  later  deepens  into  very  serious  aspects. 
It  is  a  long  way  from  The  Castle  of  Otranto  to  Frank- 


THE   INFLUENCE   OF   A   NOVEL  2 1/ 

enstein,  but  a  careful  analysis  of  the  social  causes  which 
made  the  former  a  literary  success  will  aid  the  critic  in 
understanding  the  latter. 

In  the  spontaneous  likes  and  dislikes  of  literary  taste, 
the  critic  finds  a  good  field  in  which  to  study  what  the 
sociologist  calls  "  organic  sympathy  and  antipathy." 

Methods  of  publication  and  reviewing  are  among  the  atmospheric 
conditions  of  the  novel-plant.  Even  in  the  eighteenth  century  the 
reviewers  were  recognized  as  a  powerful,  and  often  a  malign,  influence 
upon  popular  opinion.  —  Scott  explains  the  relative  failure  of  The 
Monastery  by  reference  to  social  conditions ;  and  traces  the  success  of 
Quentin  Dunvard  in  France  to  French  acquaintance  with  its  histori- 
cal allusions.  —  Senior  gives  an  itemized  explanation  of  the  popularity 
of  Uncle  Tom's  Cabin,  for  England  and  New  England  separately; 
the  causes  he  notes  varying  from  the  "  moral  coloring  "  of  the  novel  to 
the  lack  of  international  copyright. 

To  the  private  reader,  the  circumstances  under  which  a 
given  novel  first  became  familiar  may  be  forever  associated 
with  the  novel  itself,  as  the  circumstances  of  composition 
may  remain  in  the  memory  of  the  author  (see  Section  1 59). 
To  many  individuals,  certain  novels,  not  necessarily  very 
important  in  themselves,  will  always  be  clearly  remem- 
bered, because  they  entered  into  episodes  of  deep  personal 
joy  or  sorrow. 


CHAPTER  XII 
COMPARATIVE   RHETORIC 

175.  Nature  of  the  Study.  —  After  the  study  of  an  indi 
vidual  novel,  in  itself,  and  in  relation  to  the  forces  which 
shape  it  and  the  effects  produced  by  it,  the  field  of  interest 
may  be  broadened  by  a  comparison  of  the  novel  with  other 
kinds  of  literature.     Many  points  of  this  kind  have  already 
been  given,  but  in  an  isolated  and  incidental  manner. 

By  comparative  rhetoric  is  here  understood  the  com- 
parative study  of  the  "  forms  of  discourse,"  and  of  the 
recognized  types  of  literature.  Such  a  study  might  be 
considered  specially  appropriate  with  reference  to  the 
novel,  because  of  the  complex,  composite  nature  of  that 
type. 

In  a  detailed  analysis,  separate  examination  might  be  made  of  the 
historical,  technical,  and  theoretical  relations  of  the  novel  to  each  of  the 
other  literary  types.  It  may  be  sufficient  for  the  present  purpose  to 
indicate  some  of  the  principal  features  of  the  study,  in  outline. 

176.  The   Forms    of    Discourse.  —  Professor   Gummere 
defines  the  drama  as  '  an  epic  whole  composed  of   lyric 
parts.'      A  novel  might  often  be  characterized  as  a  narra- 
tive frame  with  descriptive  filling ;  but  some  novels  could 
be  better  viewed  as  descriptive  wholes  with  narrative  parts. 
No  single  formula  of  this  kind  will  correspond  accurately 
to  all  the  variations  actually  found  in  fiction. 

Exposition,  in  the  general  rhetorical  sense,  is  an  essential 

218 


COMPARATIVE   RHETORIC  2 19 

element  in  every  novel ;  and  it  may  be  the  dominant  type 
of  structure,  as  in  the  philosophical  novel,  and  in  some  his- 
torical novels — the  real  aim  being  to  explain  some  idea  or 
some  state  of  society.  In  the  purpose  novel,  the  inclusive 
scheme  may  be  argumentative. 

A  distinction  between  the  forms  of  discourse  which  serve 
respectively  as  a  means  and  as  an  end  may  sometimes  be 
helpful.  Narration,  for  example,  in  the  novel  as  in  the 
sermon,  may  be  merely  the  agent  of  an  expository  purpose 
or  of  a  lyrical  impulse. 

177.  Prose  and  Poetry.  —  In  systematic  German  criticism, 
the  novel  is  usually  considered  as  belonging  to  poetics, 
and  it  is  discussed  in  close  connection  with  the  drama,  the 
epic,  and  the  lyric.  English  rhetoric  has  more  commonly 
associated  it  with  the  other  forms  of  prose  literature.  The 
typical  novel  is  neither  entirely  prosaic  nor  entirely  poetic, 
but  is  perhaps  the  best  existing  example  of  a  literary  form 
which  combines  these  two  qualities. 

The  criticism  of  the  romantic  movement  suggested  the 
phrase  "  science  and  poetry  "  as  denoting  a  more  accurate 
contrast  than  "prose  and  poetry."  Some  students  have 
seen  in  the  novel  an  unusual  opportunity  to  harmonize  the 
modern  interest  in  science  with  the  permanent  human  in- 
terest in  poetry.  Purely  scientific  value  must  remain  sub- 
ordinate in  the  novel,  as  now  understood;  for  science 
yearns  for  the  abstract  formulas  of  metaphysics  and  math- 
ematics, while  concreteness  has  been  named  as  one  of  the 
stylistic  qualities  of  the  novel.  It  would  offend  the  laws 
of  mental  economy  to  call  a  novel  into  existence  for  the 
sake  of  a  scientific  exposition.  A  cathedral  may  illustrate 
certain  laws  of  physics,  chemistry,  and  geology,  but  it  would 
not  be  reasonable  to  build  cathedrals  mainly  for  the  sake 
of  such  illustration. 


220  THE   STUDY   OF  A   NOVEL 

In  an  individual  novel,  study  the  application  of  the  conceptions  of 
poetry  found  in  the  Defenses  of  Sidney  and  Shelley,  and  in  the  preface 
of  the  Lyrical  Ballads.  Compare  the  statement  of  the  relations  of  poetry 
and  science  in  the  last,  with  that  of  Lanier :  — "And  now  if  we  pass 
one  step  farther  and  consider  what  would  happen  if  the  true  scientific 
activity  and  the  true  poetic  activity  should  engage  themselves  upon  one 
and  the  same  set  of  facts  ?  We  arrive  at  the  novel." l 

178.  Prose  and  Verse.  —  The  elementary  relations  of 
prose,  poetry,  and  verse  may  be  simply  arranged  thus :  — 

SUBSTANCE.  FORM. 

(1)  Prose  Prose 

(2)  Prose  Verse 

(3)  Poetry  Prose 

(4)  Poetry  Verse 

Examples  of  these  four  relations  can  easily  be  recalled 
by  the  student  of  literature.  The  only  one  that  may  be 
considered,  in  most  cases,  to  be  abnormal,  is  the  second. 
It  is  chiefly  because  the  novel  carries  so  great  a  weight  of 
prose  substance  that  prose  form  seems  to  be  its  natural 
medium.  In  more  detail,  these  are  among  the  character- 
istics of  the  novel  which  point  to  the  necessity  or  pro- 
priety of  prose  structure:  (i)  its  great  length;  (2)  the 
variety  and  frequency  of  its  structural  transitions,  as  from 
dialogic  to  non-dialogic  form ;  (3)  its  desire  to  use  docu- 
ment or  speech  actually  historical,  or  seemingly  so,  in  form 
as  well  as  in  substance  ;  (4)  its  historical  and  aesthetic  as- 
sociation with  other  types  of  prose  ;  —  in  this  connection  it 
might  be  said  that  just  because  the  novel  is  so  closely 
allied  with  the  epic,  a  different  external  medium  is  desirable, 
to  give  it  greater  individuality ;  (5)  its  modern  quality, 
and  its  appeal  to  an  audience  for  which  prose  is  in  general 
more  attractive  than  verse.  Most  of  the  stylistic  qualities 

1  The  English  Novel,  p.  10. 


COMPARATIVE    RHETORIC  221 

of  the  novel  given  in  Chapter  VIII  have  at  least  a  decided 
tincture  of  prosaic  value. 

Compare  the  prose  short  story  with  such  realistic  verse  as  the  tales 
of  Crabbe,  and  many  of  the  dramatic  monologues  of  Browning.  —  The 
"  novel  in  verse  "  has  never  shown  a  very  rich  development,  but  it  has 
a  field  of  its  own,  and  is  valuable  for  purposes  of  comparison.  Many  of 
the  long  narrative  poems  of  Browning  are  very  closely  akin  to  the  real- 
istic novel  in  spirit,  and  to  a  large  extent  in  method.  Study  also  the 
novelistic  elements  in  Lalla  Rookh,  Aurora  Leigh,  The  Princess, 
Amours  de  Voyage,  and  The  Angel  in  the  House.  Pushkin's  Eugene 
Onegin  is  a  famous  example  of  this  type  in  Russian  fiction. 

For  a  brief  discussion  of  prosimetrical  structure,  see 
Section  12. 

179.  The  Short  Story. — The  novelist  has  often  served 
an  apprenticeship  as  a  short  story  writer,  or  has  carried 
on  the  two  branches  of  the  art  together.  If  he  confines 
himself  to  the  longer  form,  his  work  may  yet  show  the 
influence  of  the  masters  in  the  sister  type.  In  very  many 
early  novels  and  romances,  short  stories  are  included,  inde- 
pendent in  artistic  value,  and  sometimes  independent  in 
origin.  Except  in  this  manner,  the  great  English  novel- 
ists of  the  mid-eighteenth  century  —  Richardson,  Fielding, 
Smollett  —  produced  very  little  in  the  field  of  the  short 
story. 

In  some  respects  the  relation  of  the  short  story  to  the 
novel  is  similar  to  that  of  the  ballad  to  the  epic,  and  an 
interesting  study  might  be  made  by  tracing  out  the  analogy 
in  detail.  Kindred  analogies  between  a  lesser  and  a  greater 
type  might  perhaps  be  discovered  in  architecture,  painting, 
and  music. 

Among  the  single  clues  to  the  nature  of  the  short  story, 
as  compared  with  the  novel,  criticism  suggests  its  artifi- 
ciality —  its  greater  isolation  in  relation  to  the  total  experi- 


222  THE   STUDY   OF   A    NOVEL 

ence  of  life ;  and  its  more  pronounced  unity.  The  unity 
may  be  found  not  only  in  the  subject  and  structure  of  the 
fiction  itself,  but  in  the  process  of  composition,  the  shap- 
ing forces,  and  particularly  in  the  impression  upon  the 
reader.  Because  it  is  less  like  life  than  the  novel,  the 
short  story  may  approach  more  nearly  the  perfection  of 
art,  and  may  be  judged  somewhat  more  severely.  The  de- 
velopment of  the  prose  poem,  and  of  all  very  short,  highly 
finished  fictions,  has  created  a  standard  of  excellence  in 
detail  quite  alien  to  the  history  of  the  novel.  Sharp,  sus- 
tained antithesis,  extreme  repression,  and  dominant  sym- 
bolism, are  among  the  methods  better  adapted  to  the 
briefer  form.  A  review  of  the  qualities  of  style  given  in 
Chapter  VIII  will  show  that  several  of  them  are  not  char- 
acteristic of  the  short  story,  and  that  one  or  two  of  them 
are  even  opposed  to  its  normal  tendency. 

Study  the  technic  and  spirit  of  Adam  Bede,  with  reference  to  the 
Scenes  of  Clerical  Life.  —  Compare  the  same  types  of  incident,  charac- 
ter, and  settings,  as  they  appear  in  the  two  forms  of  fiction.  —  Write  in 
outline  or  in  full  text,  short  stories  based  on  well-marked  episodes  of  a 
novel,  such  as  the  Lantern  Yard  history,  the  coming  of  Eppie,  and  the 
visit  of  Godfrey  and  Nancy  to  the  cottage,  in  Silas  Marner.  Compare 
the  results,  in  artistic  meaning,  with  the  original  passages.  —  Condense 
an  entire  novel  into  a  short  story,  and  note  the  aesthetic  gain  and  loss. 
—  Give  a  critical  explanation  of  the  reasons  why  such  genuine  short 
stories  as  The  Gold-bug,  The  Ambitious  Guest,  and  Ethan  Brand,  can- 
not be  transformed  into  novels. 

180.  The  Epic. — The  better  histories  of  prose  fiction 
give  extended  discussion  of  its  historical  relations  to  epic 
poetry.  Every  individual  novel  is  in  one  way  or  another 
an  example  of  these  relations.  Up  to  the  nineteenth  cen- 
tury, the  novel  was  very  frequently  modeled  after  the  epic, 
as  a  matter  of  conscious  artistic  method.  This  is  notably 


COMPARATIVE   RHETORIC  223 

true  in  respect  to  the  Greek  romances,  the  romances  of 
chivalry,  and  the  heroic  romances.  Fielding's  conception 
of  the  novel  was  based  largely  upon  its  correspondence 
with  the  epic,  though  he  also  noted  the  contrasts.  During 
the  nineteenth  century,  a  conscious  critical  distinction  be- 
tween the  epic  and  the  novel  has  aided  in  defining  the 
exact  position  of  the  latter.  In  extreme  form,  such  dis- 
tinction marks  what  is  almost  an  antagonism  between  the 
two  types,  if  by  epic  is  understood  the  original,  primitive 
heroic  poem. 

Few  writers  have  produced  both  great  epic  poems  and 
great  novels,  of  pure  types.  The  epic  poet  since  the 
Renaissance  has  usually  been  academic  and  traditional; 
while  the  representative  novelist  has  often  been  exactly 
the  opposite.  Scott  is  probably  one  of  the  best  examples, 
in  later  times,  of  a  high  degree  of  power  in  both  types  of 
literature ;  though  his  narrative  poems  are  not  epic  in  the 
fullest  sense. 

In  technic,  many  of  the  differences  between  the  two 
forms  are  due  to  the  fact  that  one  uses  prose,  the  other 
verse.  A  comparison  of  dialogue,  settings,  characteriza- 
tion, motivation,  etc.,  in  a  representative  epic  and  a  repre- 
sentative novel,  will  throw  light  upon  the  kind  of  technical 
mastery  demanded  of  the  novelist.  The  difference  in  sub- 
ject-matter—  in  the  themes  of  love,  the  supernatural,  and 
the  martial,  for  example  —  leads  also  to  differences  in 
form.  Many  such  epic  motifs  as  the  invocation  of  the 
muses,  the  catalogue  of  forces,  the  monologue  of  a  martial 
leader,  and  the  combat  with  a  monster,  have  no  direct  anal- 
ogies in  the  novel.  In  many  novels,  however,  these  and 
similar  motifs,  as  well  as  epic  similes  and  other  stylistic  de- 
tails, are  imitated,  either  seriously  or  in  a  spirit  of  burlesque. 

The  theoretical  comparison  of   the  two  types  includes 


224  THE   STUDY   OF   A   NOVEL 

such  topics  as  individual  and  social  authorship ;  simplicity 
and  complexity  in  the  treatment  of  social  life ;  the  inter- 
mingling of  the  tragic  and  the  comic,  of  the  fictitious  and 
the  historical;  familiarity  and  novelty  of  subject;  rela- 
tive values  of  plot  and  characters ;  the  appeal  to  cultured 
and  to  popular  audiences,  etc.  In  some  of  these  matters, 
the  resemblance  of  the  two  types  is  clear;  in  others,  their 
separate  nature  and  function  are  more  apparent. 

Compare  the  burlesque  of  epic  formulas  in  Don  Quixote,  The  Rape 
of  the  Lock,  The  Battle  of  the  Books,  and  in  Fielding  and  Smollett.  — 
Trace  the  possible  influences  from  the  modern  novel  upon  the  Idylls  of 
the  King.  —  Distinguish  the  epic  and  the  novelistic  elements  in  Sordello, 
The  Ring  and  the  Book,  and  other  long  narrative  poems  of  Browning. 
—  Compare  Taras  Bulba  and  Dead  Souls,  both  of  which  are  supposed 
to  be  particularly  epic  in  spirit.  —  Compare  the  treatment  of  the  crusades 
in  The  Talisman,  and  in  Jerusalem  Delivered.  —  Outline  an  epic  poem 
based  upon  Ivanhoe,  The  Last  of  the  Mohicans,  or  War  and  Peace. 

181.  Biography.  —  The  general  development  of  modern 
biographical  writing  in  not  a  few  particulars  resembles  that 
of  the  modern  novel.  The  attitudes  of  romanticism  and  of 
realism  towards  the  individual  life  appear  in  essentially 
the  same  manner  in  the  real  and  in  the  fictitious  biog- 
raphy. Froude's  life  of  Carlyle  shows  the  nature  of 
nineteenth  century  realism,  interpreting  the  life  of  a  strong 
man,  as  clearly  as  any  novel  of  the  ethical  school. 

Many  novelists  have  been  authors  of  biography  or  auto- 
biography, and  their  methods  in  these  types  can  be  com- 
pared in  some  detail  with  their  novelistic  methods.  Bunyan, 
Rousseau,  Goethe,  Newman,  Tolstoi,  and  many  other  famous 
men  have  left  some  interpretation  of  their  own  lives  in  both 
the  autobiography  and  the  novel. 

In  technic,  it  is  obvious  that  the  biography  offers  many 
problems  similar  to  those  of  the  novel ;  and  one  can  imagine 


COMPARATIVE   RHETORIC  22$ 

a  novelist  learning  much  from  a  diligent  study  of  the 
masters  of  the  other  type  of  literature.  In  theory,  the 
novel  has  often  been  considered  as  essentially  a  fictitious 
biography.  The  word  "life,"  as  applied  to  the  hero,  has 
been  common  in  the  titles  of  novels  for  a  long  period. 

Goethe  announced  a  certain  theory  of  biographical  interpretation 
in  his  Dichtung  und  Wahrheit,  and  Defoe  stated  much  the  same  idea 
in  the  preface  of  Colonel  Jacque  :  —  "  neither  is  it  of  the  least  moment 
to  inquire  whether  the  Colonel  hath  told  his  own  story  true  or  not ;  if 
he  has  made  it  a  History  or  Parable,  it  will  be  equally  useful,"  etc. 

From  the  reader's  point  of  view  the  fictitious  hero  of  a 
novel  may  appear  more  real,  more  vitally  connected  with 
the  reader's  experience,  than  'the  hero  of  a  biography, 
however  important  in  the  world  of  actual  history.  As  to 
ethical  effects,  the  resolution  against  prejudice,  the  enlarge- 
ment of  sympathy,  the  sense  of  human  isolation  or  fellow- 
ship, may  be  aroused  quite  as  deeply  by  contact  with  a 
character  existing  only  in  the  imagination  as  with  one  that 
actually  sinned  and  repented. 

Compare  the  treatment  of  famous  historical  characters  in  biography 
and  in  fiction.  In  many  cases,  the  popular  conception,  which  is  some- 
times the  true  one  also,  has  been  created  largely  by  the  interpretation  of 
the  novelist.  —  Assuming  that  Silas  Marner  was  a  real  individual,  recast 
the  novel  into  the  form  of  a  biography. 

182.  History.  —  At  the  present  time,  there  is  an  effort 
to  construct  history  in  the  spirit  of  exact  science.  So  far 
as  this  effort  succeeds,  history  passes  altogether  from  the 
domain  of  literature  proper  ;  but  in  the  past,  and  to  a  large 
extent  in  the  present,  history  belongs  among  the  types  of 
artistic  narrative. 

The  development  of  the  historical  sense,  and  the  trans- 
fer of  emphasis  from  the  ecclesiastical  to  the  secular,  are 


226  THE   STUDY   OF  A   NOVEL 

among  the  interesting  points  in  which  history  may  be  com- 
pared  with  the  novel.  Many  novelists  have  done  good 
work  in  the  other  field ;  and  Karamzin,  recognized  as  one 
of  the  founders  of  historical  writing  in  Russia,  adapted  to 
history  the  general  method  of  interpretation  of  human 
experience  which  he  first  used  in  fiction. 

Much  of  the  preceding  analysis  of  this  volume  may  be 
applied  to  any  history  which  is  at  the  same  time  an  artistic 
narrative.  In  a  comparison  with  the  novel,  one  may  note 
as  items  of  more  than  technical  significance,  the  problems 
of  relative  emphasis  upon  events  and  persons,  upon  indi- 
viduals and  social  groups ;  the  continuous,  pressing  demand 
for  selective  process;  the  proportion  between  exhibition 
and  interpretation  ;  the  possible  interpretation  of  history  in 
terms  of  biology  or  theology ;  and  the  methods  of  attaining 
illusion. 

The  theory  of  the  novel  has  often  allied  it  with  history.  Fielding 
writes  in  Tom  Jones  (IX,  i),  "as  we  have  good  authority  for  all  our 
characters,  no  less  indeed  than  the  vast  authentic  doomsday  book  of 
nature,  .  .  .  our  labors  have  sufficient  title  to  the  name  of  history." 
This  entire  chapter  is  well  worth  reading,  and  comparing  with  simi- 
lar passages  of  the  same  author.  —  It  is  a  curious  fact  that  Defoe's 
Plague  Year  is  not  only  often  classified  with  history  in  the  libraries, 
but  has  led  to  a  spirited  dispute  among  critics  whether  it  is  really  to  be 
considered  as  in  any  sense  a  novel.  —  Sidney's  famous  discussion  of  his- 
tory and  philosophy,  in  their  relations  to  poetry,  may  be  applied,  with- 
out essential  change,  to  the  criticism  of  the  novel. 

183.  The  Essay.  —  The  essay,  as  commonly  understood 
at  present,  originated  in  the  awakened  intellect  of  the 
Renaissance,  and  has  stood  for  the  wide  variety  of  inter- 
ests of  the  modern  secular  mind.  In  this  respect,  and  in 
its  lack  of  definite  form,  it  resembles  the  novel.  Many 
individual  essays  could  be  better  compared  with  the  short 


COMPARATIVE   RHETORIC  227 

story,  in  that  they  give  an  isolated,  intensive  view  of  an 
episodic  subject. 

One  can  easily  recall  eminent  novelists  who  have  been 
successful  in  the  essay ;  but  probably  the  typical  essayist 
is  too  abstract  in  thought  to  cultivate  so  concrete  a  form 
of  literature  as  the  novel.  The  essay,  as  essay,  does  not 
aim  at  any  illusion  for  its  principal  effect,  though  it  may 
employ  illusion  as  a  means.  It  may,  like  the  short  story, 
be  primarily  the  expression  of  a  mood,  or  an  endeavor  to 
create  a  definite  emotional  or  moral  attitude  in  the  reader. 
The  border  line  between  the  essay  and  the  novel  is  crossed, 
so  far  as  form  is  concerned,  by  essays  written  in  dialogic, 
epistolary,  or  narrative  form,  and  by  novels  in  which  the  ex- 
pository comment  really  dominates  the  composition.  The 
essay  value  of  the  author's  comment,  in  brief  passages  or 
in  complete  chapters  of  a  novel,  is  often  quite  apparent. 

184.  The  Lyric.  — The  kinship  of  romance  and  of  cer- 
tain types  of  short  story  to  the  lyric  has  been  mentioned 
several  times  in  the  preceding  pages.  Pastoral  romance, 
as  represented  by  Sannazaro's  Arcadia,  is  not  only  largely 
composed  of  verse,  but  is  to  a  great  extent  an  expression 
of  the  lyrical  episodes  of  the  author's  experience.  In 
important  respects,  the  lyric  is  almost  the  exact  antithesis 
of  the  novel  proper.  In  England,  the  modern  novel  arose 
in  a  period  when  lyric  poetry  was  at  a  very  low  ebb ;  and 
the  lyrical  schools  of  the  romantic  movement,  and  of  pre- 
Raphaelitism  produced  little  that  is  significant  in  prose 
fiction.  It  is  not  difficult  to  mention  individual  great 
novelists  who  have  written  great  lyric  poetry ;  but  this  con- 
dition may  be  considered  somewhat  exceptional,  and  in 
most  cases  it  is  easy  to  make  clear  distinction  between  the 
lyrical  and  the  novelistic  talent  of  an  author,  either  in 
period  of  production  or  in  artistic  quality. 


228  THE    STUDY   OF  A   NOVEL 

Hugo  and  Pushkin  may  be  counted  among  the  great  lyrists,  but  their 
prose  fiction,  in  the  main,  does  not  belong  with  the  novel  proper. 
Thackeray,  George  Eliot,  George  Meredith,  and  Thomas  Hardy  are  all 
lyric  poets  of  some  accomplishment,  but  can  hardly  be  recognized  as 
among  the  great  masters.  Blake,  Burns,  Keats,  Shelley,  Heine,  Ros- 
setti  —  the  pure  lyrists  —  wrote  nothing  of  great  value  in  prose  fiction. 

A  lyric  may  incidentally  have  many  of  the  elements  of 
novelistic  form,  —  dialogue,  realistic  settings,  sharply  de- 
fined incident,  etc.,  —  but  these  elements  do  not  belong 
to  the  real  nature  of  a  lyric.  It  may  use  dialect,  but  usu- 
ally becomes  less  lyrical  thereby.  The  dramatic  lyric, 
such  as  Browning  loved  to  write,  has  much  in  common 
with  the  prose  character  study,  but  it  is  just  so  far  removed 
from  the  nature  of  pure  song. 

A  lyric  cannot  be  fairly  judged  by  the  same  ethical 
standards  as  the  novel.  Scepticism,  morbidity,  misan- 
thropy, have  very  different  values,  recorded  in  a  lyric  of 
transitory  mood,  and  embodied  in  a  novel  which  summa- 
rizes the  habitual  attitude  of  the  author.  Again,  a  song 
without  any  considerable  ethical  content  might  be  worthy 
of  our  admiration,  whereas  a  long  novel  without  deep 
moral  meaning  might  be  severely  condemned. 

In  the  study  of  an  individual  novel,  one  may  note  the 
traces  of  lyrical  attitude  in  the  original  impulse,  and  in 
the  process  of  composition ;  the  passages  of  lyrical  quality 
in  the  final  text ;  and  the  lyrical  effects  upon  the  reader. 
The  incorporation  of  actual  lyrics  in  a  prose  fiction  has 
been  briefly  noticed  in  Section  12. 

In  Silas  Marner,  select  "lyrical  germs"  or  motifs  which  could  be 
developed  into  a  dirge,  a  pastoral  song,  a  wedding  hymn,  a  love  sonnet, 
etc.  —  Study  a  few  lyrics  in  which  the  narrative  element  is  sufficient  to 
suggest  a  short  story.  —  Compare  realistic  lyrics,  such  as  Rossetti's 
Jenny,  Tennyson's  In  the  Children's  Hospital,  and  Browning's  La 


COMPARATIVE    RHETORIC  229 

Saisiaz,  with  realistic  prose  fiction,  in  the   details  of  substance  and 
form. 

See  the  glossary,  under  "  lyrical." 

185.  Journalism.  —  The  historical  associations  of  jour- 
nalism with  the  novel  are  quite  intimate,  and  have  con- 
tinued for  two  centuries.  From  the  Sir  Roger  de  Coverley 
papers  until  the  present  time,  the  practise  of  publishing 
prose  fictions  in  periodicals  has  been  common.  Not  only 
The  Spectator,  but  The  Idler,  The  Rambler,  and  Gold- 
smith's semi-journalistic  Citizen  of  the  World,  all  contain 
much  that  is  novelistic  in  subject;  and  make  use  of 
such  novelistic  forms  as  the  imaginary  character,  the 
"feigned  letter,"  dialogue,  allegorical  story,  etc.  The 
book-reviewer  was  early  recognized  as  an  important  power 
in  modifying  the  popularity  of  fiction  in  general,  and  of 
individual  works.  Much  of  the  best  criticism  of  fiction,  as 
well  as  most  of  the  worst,  has  appeared  in  periodicals.  A 
considerable  number  of  novelists  have  been  journalists, 
and  have  carried  the  spirit  and  method  of  journalism  into 
the  field  of  their  art. 

In  spirit,  journalism  resembles  the  realistic  novel  in  its 
modernness,  its  social  quality,  its  democracy,  and  its 
secularity.  A  critic  who  vigorously  attacked  or  defended 
the  one  form  of  literature  would  logically  take  much  the 
same  attitude  toward  the  other.  Both  have  been  severely 
criticized  by  the  academic,  classical  mind,  on  aesthetic 
grounds ;  and  by  the  puritanic  mind,  on  ethical  grounds. 

Thoreau's  advice  to  'read  not  the  times  but  the  eternities,'  would 
forbid  one  to  loiter  with  the  vast  majority  of  popular  novels.  These 
words  of  his,  with  reference  to  the  newspaper,  are  even  more  directly 
anti-novelistic  :  —  "If  you  are  acquainted  with  the  principle,  what  do 
you  care  for  a  myriad  instances  and  applications  ?  To  a  philosopher 
all  news,  as  it  is  called,  is  gossip,  and  they  who  edit  and  read  it  are  old 


230  THE   STUDY   OF  A   NOVEL 

women  over  their  tea." 1  Compare  Carlyle's  interpretation  of  journal- 
ism as  serving  one  function  of  the  church  in  modern  society :  "  A  preach- 
ing friar  settles  himself  in  every  village,  and  builds  a  pulpit,  which  he 
calls  Newspaper,"  '*  etc. 

186.  Other  Types  of  Literature.  —  Among  other  literary 
types  with  which  a  novel  may  be  compared,  with  some 
special  fitness,  are  the  "character,"  the  letter,  and  the 
sermon. 

The  treatment  of  individual  life  in  the  character  is  too 
typical,  too  isolated,  to  resemble  closely  that  of  the  novel ; 
but  character-writing  made  its  contribution  to  the  historical 
development  of  the  novel,  and  might  still  serve  as  a  kind 
of  preliminary  exercise  for  the  novelist.  A  series  of  char- 
acters, such  as  those  of  Earle's  Microcosmography,  may 
make  considerable  approach  to  the  novel,  by  way  of  stud- 
ied contrasts,  sketches  of  social  groups,  and  description  of 
place  settings. 

The  historical  relation  of  letter-writing  to  the  rise  of  the 
novel  in  the  eighteenth  century  is  clear ;  and  there  are 
many  similar  technical  points  in  the  two  forms.  In  a 
series  of  real  letters,  one  may  note,  in  much  the  same 
manner  as  in  history  or  biography,  the  proportion  of  em- 
phasis upon  incident  and  character,  upon  the  individual 
and  his  social  environment,  upon  exhibition  and  inter- 
pretation, etc. 

Outline  the  transformation  of  a  dialogic  and  narrative  novel  into 
epistolary  structure.  —  Compare  the  amount  of  novelistic  material  in 
some  of  the  famous  series  of  real  letters,  such  as  the  correspondence 
of  Goethe  and  Schiller,  of  Carlyle  and  Emerson,  of  Mrs.  Montagu, 
Horace  Walpole,  or  Chesterfield. 

The  purpose  novel  sometimes  approaches  very  near  to 
the  nature  of  a  sermon.  It  is  often  said  that  journalism 

1  Walden  ;   What  I  lived  for.        a  Sartor  Resartus  ;  Organic  Filaments. 


COMPARATIVE   RHETORIC  231 

and  fiction  have  become  substitutes  for  the  sermon  in 
modern  society.  Compare  the  statement  of  Carlyle  in  the 
preceding  section.  The  number  of  recent  novels  with 
titles  based  on  a  biblical  text  may  be  worthy  of  notice. 

A  sermonistic  quality  might  be  expected  in  the  novels  of  Sterne, 
Kingsley,  and  Newman.  For  one  thing,  a  thinker  accustomed  to  ad- 
dress a  living  audience  might  be  presumed  to  have  an  unusually  clear 
consciousness  of  his  reading  public,  when  he  turns  to  literature  as  a 
means  of  communication. 


CHAPTER  XIII 
COMPARATIVE   AESTHETICS 

187.  Relation  of  the  Separate  Arts.  — When  art  in  gen- 
eral is  examined  in  comparison  with  science,  or  life,  or 
nature,  the  differences  between  the  separate  arts  may 
appear  of  little  moment.  On  the  other  hand,  when  any 
single  art  is  studied  intensively  for  a  long  period,  its  indi- 
vidual peculiarities  may  at  times  appear  more  important 
than  its  family  resemblance  to  the  other  arts.  The  arts 
differ  more  in  body,  in  form,  than  in  spirit.  It  is  clear 
that  they  have  very  diverse  modes  of  appeal  to  the  senses ; 
but  the  intellectual  and  moral  messages  they  bring  often 
have  a  remarkable  unity.  The  technical  student  of  any 
art  is  likely  to  emphasize  its  peculiarities  of  material  and 
process  of  execution,  with  too  little  attention  to  its  more 
general  artistic  values.  On  the  contrary,  some  critics, 
whose  interest  is  mainly  historical  or  ethical,  may  almost 
lose  sight  of  those  physical  characteristics  which  distinguish 
each  art  from  its  fellows. 

Among  the  arts  there  are  small  sub-groups  with  special  bonds  of 
technical,  theoretical,  or  historical  union.  Note,  for  example,  the  inti- 
mate relations  of  music  and  the  drama,  of  architecture  and  sculpture.  In 
some  respects,  the  novel  and  the  drama  may  be  viewed  as  composing 
such  a  group. 

As  a  subject  for  poetic  treatment,  the  relation  of  the  arts  is  a  com- 
mon theme  in  Browning.  Among  other  references  one  may  recall  the 
ideas  of  Jules,  in  Pippa  Passes,  and  of  Aprile,  in  Paracelsus  ;  and  the 
career  of  Sordello,  and  of  Cleon.  The  same  conception  at  work  in 

232 


COMPARATIVE   /ESTHETICS  233 

the  practise  and  theory  of  a  real  artist,  is  familiar  in  Browning's  famous 
contemporary,  Wagner. 

1 88.  Classification  of  the  Arts.  —  The  following  simple 
examples  are  given  merely  by  way  of  illustration.     More 
elaborate  classifications  can  readily  be  found  in  text-books 
of  aesthetics. 

I.    i.  Presentative    arts:  —  architecture;    music;    land- 
scape gardening. 
2.  Representative      arts :  —  painting  ;        sculpture ; 

drama ;  poetry. 
II.1  i.  Plastic  arts:  —  architecture;  sculpture;  painting. 

2.  Tonic  arts  :  —  music ;  song ;  poetry. 

3.  Mimical  arts  :  —  dance;  meloplastik ;  drama. 
III.2  i.  Arts  of  sound  :  —  poetry ;  music  ;  dancing. 

2.  Arts  of  sight: — sculpture;  painting;  architecture. 

Such  classifications  give  one  a  general  view  of  the  aesthetic 
relations  of  the  novel ;  which  is,  of  course,  included  under 
poetry. 

189.  Method  of  Study.  —  The  analysis  of  the  novel  in 
the  preceding  pages,  in  its  larger  outlines,  may  be  applied 
to  any  work  of  art.     The  topics  of  such  analysis  may  be 
summarized  thus :  external  material ;  external  structure ; 
internal  structure ;  subject-matter  ;  style ;  the  process  of 
composition  ;   the  shaping  forces ;   the   effects  produced. 
The  novel  could  be  compared,  in  all  these  points,  'seriatim, 
with  each  of  the  other  kinds  of  art.     If  one  wishes  to  lay 
the  emphasis  more  strongly  upon  the  types  of  art,  as  sepa- 
rate wholes  of  interest,  it  may  be  best  to  follow   other 

1  Zeising  :  ^sthetische  Forschungen. 

2  Veron :  Esthetics.     The  somewhat  curious  classification  of  dancing  is 
explained  on  p.  29. 


234  THE   STUDY   OF  A  NOVEL 

methods  of  study.  One  form  of  simpler  comparison  might 
note,  in  a  general  way,  the  historical,  technical,  and  theo- 
retical relations. 

In  the  present  volume,  the  individual  novel  is  supposed  to  be  the 
central  subject  of  inquiry,  and  abstract  theory  to  be  subordinate  to 
acquaintance  with  an  actual  concrete  work.  The  study  could  be  made 
most  specific  by  comparison  of  an  individual  novel  with  an  individual 
work  in  each  of  the  other  arts. 

190.  The  Drama.  —  The  drama  is  essentially  a  composite 
art,  based  on  the  cooperation  of  play-writing,  dramaturgy, 
and  histrionics.  Its  text,  considered  purely  as  poetry,  may 
be  compared  with  the  novel  in  the  same  general  manner 
as  was  suggested  for  the  epic  in  the  preceding  chapter. 

Any  analysis  of  the  relations  of  the  drama  proper  and  the  novel  may 
be  modified  for  the  various  forms  of  music  drama.  The  recent  devel- 
opment of  a  new  form  of  "  melodrama,"  offers  some  very  interesting 
points  to  the  student  of  any  type  of  plot-literature. 

The  historical  relations  of  the  drama  and  the  novel  have 
been  intimate  throughout  Europe.  In  many  respects  the 
two  arts  have  aided  one  another,  and  have  satisfied  much 
the  same  emotional  cravings,  in  both  the  artist  and  his 
public.  The  sources  of  a  dramatic  text  have  very  com- 
monly been  found  in  other  forms  of  literature ;  and  since 
the  Renaissance,  the  novel  has  been  one  of  the  favorite 
forms.  To  some  extent,  however,  as  is  the  case  with  the 
novel  and  the  epic,  the  novel  and  the  drama  may  be  con- 
sidered as  rivals. 

Among  the  famous  novelists  who  have  done  notable  work  in  the 
drama,  are  Goethe,  Manzoni,  Hugo,  and  Tolstoi.  Fielding  is  a  particu- 
larly interesting  example.  Considered  by  some  critics  as  the  very 
greatest  of  English  novelists,  he  is  also  one  of  the  chief  figures  in  the 
English  dramatic  history  of  his  century. 

The  list  of  well-known  novels  which  have  been  dramatized  would 


COMPARATIVE  AESTHETICS  235 

be  very  extensive.  Scott  and  Dickens  have  had  abundant  representa- 
tion upon  the  stage,  and  Rousseau,  Balzac,  Dostoyevsky,  and  Zola  have 
been  honored  in  like  manner,  if  not  in  like  degree. 

Seiiora  Pardo  Bazan  gives  the  great  vogue  of  the  drama  in  Spain 
as  an  important  cause  of  the  retardation  of  the  novel  in  that  country. 
Professor  Raleigh  mentions  more  than  one  historical  situation,  in  Eng- 
land, in  which  the  one  art  has  thrived  at  the  expense  of  the  other. 

The  criticism  of  the  novel,  in  general  and  in  many 
details,  has  been  based  upon  the  previously  developed 
criticism  of  the  drama.  Many  technical  terms  and  analy- 
ses familiar  in  the  criticism  of  fiction  have  been  borrowed 
from  the  other  field.  A  glance  at  the  list  of  types  in  the 
appendix  will  indicate  the  great  extent  to  which  the  classi- 
fication of  fiction  illustrates  this  fact.  Hostility  to  the 
novel  on  aesthetic  grounds  has  not  always  implied  hostility 
to  the  drama,  but  in  general  ethical  attacks  upon  art,  the 
two  forms  have  frequently  been  condemned  for  substan- 
tially the  same  reasons. 

The  technical  differences  between  the  novel  and  the 
drama  have  often  been  reviewed  in  recent  criticism.  In 
exactness  of  structure  and  finish  of  detail,  the  drama  has 
obvious  advantages.  It  is  marked  by  immediacy — in  its 
costumes,  scenery,  and  stage  properties  ;  its  spoken  lan- 
guage, its  living  human  bodies.  The  actor  shares  with  the 
orator  the  privilege  and  the  responsibility  of  using  his  own 
body  as  in  a  strict  sense  his  primary  artistic  material.  The 
effects,  at  least  upon  the  unimaginative  mind,  are  for  these 
reasons  likely  to  be  very  sharply  defined  ;  but  there  may 
be  danger  of  emphasizing  the  material  at  the  expense  of 
the  moral. 

Again,  every  stage  presentation  of  a  dramatic  text  gives 
it  a  new  interpretation,  and  produces  almost  an  independ- 
ent work  of  art.  This  interpretation  introduces  a  group 


236  THE   STUDY  OF  A   NOVEL 

of  artists  between  the  writer  and  the  audience,  whereas 
the  novelist  comes  into  one's  presence  unaided  —  and 
unhindered.  There  is  one  Shylock  in  Shakespeare's  poem, 
another  for  the  individual  reader  of  the  play,  and  another 
for  the  playgoer  who  sees  Sir  Henry  Irving's  "  creation  " 
of  the  character. 

The  novel  is  much  more  free  than  the  drama  in  the 
treatment  of  vague  settings,  physiognomy,  gesture,  and 
speech ;  in  flexible  transitions  in  time,  place,  incident,  and 
rate  of  movement ;  in  the  introduction  of  animal  and  child 
life,  and  the  supernatural;  in  thematic  discussion,  and 
direct  interpretation  of  the  author. 

The  "  dramatic "  element  may  be  found  in  painting, 
music,  and  sculpture,  though  drama  is  the  art  in  which  it 
is  most  adequately  presented.  An  idea  of  the  dramatic 
is  gained  by  combining  such  ideas  as  intensity,  activity, 
causal  series,  struggle,  and  physical  presence.  It  is  inter- 
esting to  select  and  study  the  chief  dramatic  qualities  of  a 
great  novel,  and  to  note  to  what  degree  and  in  what  man- 
ner it  is  a  potential  drama.  The  scenes  d  faire  (see  the 
glossary)  of  a  novel  are  not  necessarily  those  of  a  drama 
following  the  same  general  plan. 

Among  the  most  dramatic  situations  of  Silas  Marner,  are  the  draw- 
ing of  the  lots,  the  quarrel  of  the  brothers,  Eppie  at  the  New  Year's 
party,  and  the  visit  of  Nancy  and  Godfrey  to  Silas.  Analyze  the  dra- 
matic quality  of  these  and  other  scenes  according  to  the  suggestions 
just  given.  Among  situations  which  a  dramatist  might  very  possibly 
have  inserted  are  meetings  between  Molly  (living)  and  Godfrey,  and 
Molly  and  Nancy. 

An  attempt  to  dramatize  this  novel  brings  into  prominence  such  dif- 
ficulties as  these :  —  the  child  life  of  Eppie ;  the  considerable  amount 
of  author's  comment ;  the  reveries  of  characters,  hardly  capable  of  being 
expressed  in  dramatic  language  ;  the  animal  life  ;  the  long  intervals  and 
other  irregularities  in  time  perspective. 


COMPARATIVE   /ESTHETICS  237 

191.  Painting.  —  In  painting,  the  value  of  pure  form 
may  be  the  chief  interest  for  many  artists  and  many  critics ; 
but  to  the  mind  of  the  average  man,  the  subject-matter,  the 
power  of  painting  to  express  substantial  ideas,  emotions, 
and  incidents,  are  at  least  of  equal  importance.  If  a  paint- 
ing is  considered  for  its  purely  formal  value,  the  compari- 
son with  the  short  story  is  closer  than  that  with  the  novel. 
The  external  material  of  painting  is  less  significant  than 
that  of  any  other  art. 

Schasler  gives  this  suggestive,  though  perhaps  somewhat  theoretical, 
parallelism  between  painting  and  poetry 1  :  — 

PAINTING  POETRY 

Subjective :  —  landscape ;  lyric. 

Objective :  —  genre ;  epic. 

Subjective-objective  :  —  historical ;  dramatic. 

This  tabulation  suggests  the  old  questions  of  the  legitimacy  of  literary 
painting,  and  of  pictorial  literature ;  and  touches  that  general  compari- 
son of  plastic  art  and  literature  considered  in  Lessing's  Laokoon. 

Both  painting  and  the  novel  may  represent  individuals 
and  groups,  animals,  inanimate  objects,  landscapes,  inte- 
riors, historical  or  fictitious  incidents,  etc.  Painting  must 
describe  all  these  subjects  through  the  medium  of  concrete 
and  condensed  visible  imagery,  without  outside  comment. 
This  fact  may  lead  to  an  emphasis  on  the  typical,  and  a 
tendency  toward  the  symbolical.  The  two  arts  differ  in 
subject-matter  in  this  respect :  the  novel  is  always  centered 
in  humanity,  whereas  a  painting  may  be  devoted  to  nature, 
either  animate  or  inanimate.  Details  such  as  tapestry, 
architectural  ruins,  animal  groups,  etc.,  which  must  be 
entirely  episodic  in  the  novel,  may  be  the  subject  of  whole 
compositions  in  the  other  art.  Many  phases  of  social  life 

1  System  der  Kunste. 


238  THE   STUDY   OF  A  NOVEL 

—  martial,  domestic,  ecclesiastical  —  are  treated  in  such 
kindred  manner  in  the  two  arts  as  to  invite  a  comparative 
study.  Any  romance  of  chivalry,  pastoral  romance,  or 
novel  of  domestic  life  may  be  compared  with  individual 
paintings  concerned  with  the  same  subjects.  The  battle- 
field, to  cite  one  specific  theme,  has  been  represented  in 
art  principally  by  fiction  and  by  painting. 

Even  the  single  painting,  but  in  a  clearer  manner,  a  series  of  paintings, 
such  as  Hogarth's  Marriage  a  la  Mode,  may  introduce  a  decided  narra- 
tive element,  and  approximate  the  interest  of  plot  proper.  Painting  has 
frequently  taken  its  subjects  from  fictitious  literature,  and  interesting 
studies  may  be  made  by  comparison  of  literary  narratives  with  series 
of  paintings  illustrating  them.  For  example,  compare  Abbey's  Holy 
Grail  pictures  in  the  Boston  Public  Library  with  Tennyson's  epic. 

In  theory,  the  novel  and  painting  both  introduce  the 
question  of  artistic  illusion,  its  purpose  and  the  methods 
of  attaining  it ;  the  question  of  form  versus  expression  of 
subject ;  and  the  relation  of  art  to  morals.  (See  the  quo- 
tation from  Henry  James  in  the  notes  on  novelistic  criti- 
cism, in  the  appendix.)  While  classicism  and  romanticism 
may  both  be  examined  comparatively  in  the  two  arts, 
it  is  in  connection  with  realism  and  impressionism  that 
recent  criticism  has  made  the  most  fruitful  comparisons. 

While  no  novel  could  be  adequately  represented  by  a 
single  painting,  every  novel  contains  many  details  which 
could  be  given  with  equal  force,  often  with  more  adequacy, 
through  the  other  art. 

In  Silas  Marner,  outline  a  single  painting  which  would  be  the  best 
possible  pictorial  representation  of  the  entire  composition.  Suggest 
any  probable  changes  of  emphasis  upon  persons,  incidents,  landscapes, 
interiors,  etc.,  if  the  novelist  had  also  been  a  painter. 

Among  small  details  which  have  a  certain  purely  pictorial  quality, 
notice  the  tankards  and  the  smoky  atmosphere  at  the  Rainbow ;  the 
gleam  of  the  fire  upon  Eppie's  hair ;  the  mist  in  which  Dunstan  ap- 


COMPARATIVE   AESTHETICS  239 

preached  the  cottage ;  the  texture  of  the  disturbed  sand  on  the  floor 
of  the  cottage,  and  of  a  piece  of  linen  in  the  process  of  weaving ;  the 
dresses  at  the  New  Year's  party.  In  the  elements  of  light  and  color, 
a  novel  may  be  compared  with  painting,  not  only  in  details,  but  in  gen- 
eral effects  upon  the  reader.  Fragmentary  pictorial  values  in  Silas 
Marner  are  the  autumnal  colors  of  the  foliage  ;  the  bright  turf  contrasted 
with  dark  cones ;  the  shadows  lengthening  under  the  hedgerows ;  the 
ash-fretted  screen ;  the  dark-blue  cotton  gown  of  Eppie,  setting  off  her 
white  throat,  etc.  The  general  color  scheme  of  this  novel  may  be  said, 
perhaps  not  too  fancifully,  to  be  somewhat  sombre,  in  keeping  with  the 
dominant  emotional  tone. 

As  portraits  of  types  of  character,  consider  the  subjects  of  the  pedlar ; 
the  country  doctor ;  the  Squire;  the  horse-trader;  the  miser;  the  sis- 
ters ;  the  childless,  etc.  For  scenes  of  a  larger  scope,  consider  the  puss 
and  the  pup;  the  Rainbow  group;  theological  discussion  of  peasants  ; 
Christmas  in  the  village  church ;  the  peasants'  wedding ;  Molly's 
death ;  Eppie  by  the  pond ;  learning  to  smoke.  The  author  herself 
suggests  one  scene  for  a  painter.  It  is  interesting  to  remember  that 
the  novel  originated  in  what  might  be  called  a  pictorial  memory. 

192.  Sculpture.  —  Historically  viewed,  sculpture  differs 
from  the  novel  in  that  it  was  a  highly  developed  art  dur- 
ing the  classical  period.  Its  best  examples  have  perhaps 
always  been  "classical"  in  a  broad  sense;  and  what  is 
classical  is  to  some  extent  anti-novelistic.  It  is  with  the 
epic  rather  than  with  the  novel  that  one  might  best  asso- 
ciate sculpture,  in  an  aesthetic  comparison.  The  intimate 
historical  associations  of  sculpture  with  architecture  have 
no  exact  analogies  in  the  relations  of  the  novel  to  any 
other  art. 

In  this  art,  the  external  material  is  often  of  great  beauty 
and  rarity,  considered  in  itself.  It  is  often  little  known  in 
the  ordinary  practical  uses  of  life ;  in  this  respect  offering 
a  striking  contrast  to  language.  The  externality  of  form 
in  sculpture  is  very  pronounced,  and  is  the  element  which 
is  often  the  most  impressive  to  the  average  spectator. 


240  THE    STUDY   OF   A   NOVEL 

Certain  languages  may  be  called  sculpturesque,  in  a  figu- 
rative sense,  but  these  languages  (Latin  clearly  being 
one)  are  not  the  ones  most  responsive  to  the  art  of  the 
novelist. 

Sculpture  may  characterize  the  individual  and  the 
group,  may  represent  a  simple  incident,  and,  in  a  series  of 
compositions,  may  approach  very  closely  to  a  plot-interest. 
It  is  clearly  anti-novelistic  in  reference  to  the  qualities  of 
complexity  and  comprehensiveness ;  and  it  cannot  rival 
the  flexibility  of  the  novel  in  the  delicate  shadings  of  emo- 
tion, incident,  or  description  of  place.  Even  more  than 
painting,  though  for  similar  reasons,  sculpture  shows  a 
tendency  toward  the  typical  and  the  symbolical. 

The  choiceness  of  the  materials  used  in  sculpture,  com- 
bined with  the  necessity  for  a  masterly  physical  process 
of  execution,  may  suggest  that  a  subject  ought  logically 
to  be  dignified  and  of  large  permanent  significance  to 
deserve  the  epithet  "  sculpturesque."  In  addition  to  these 
qualities,  the  sculpturesque  implies  calmness,  objectivity, 
perfection  of  form,  simplicity  of  outline,  and  a  high  de- 
gree of  intellectual  interest.  The  rigid  repression  of  non- 
essentials  is  necessary.  Sculpture  may  be  said  to  reproduce 
life  sub  specie  ceternitatis  —  the  eternity  of  material  form 
at  least ;  whereas  the  novel  lives  to  a  large  extent  by  vir- 
tue of  its  treatment  of  the'  concrete  and  transitory.  Some 
short  stories  may  be  called  sculpturesque  in  their  entirety ; 
in  a  novel,  this  quality  must  be  episodic,  though  it  need 
not  be  accidental. 

In  Silas  Marner,  there  are  several  passages  which  have  a  consider- 
able sculpturesque  quality,  according  to  the  analysis  just  given.  Note, 
for  example,  the  comparative  simplicity,  self-repression,  and  intellectual 
calm  of  Chapter  XIX.  As  subjects  for  actual  treatment  in  sculpture 
one  might  suggest :  —  Wildfire  dying  ;  the  old  violinist  ;  Godfrey  and 


COMPARATIVE   /ESTHETICS  24! 

his  spaniel  ;  the  doctor  looking  at  dead  Molly  ;  and  "  Memory  "  (Nancy 
in  reverie).  Godfrey,  because  of  his  fine  form,  might  be  especially 
attractive  to  the  portrait-sculptor. 

193.  Music.  —  As  in  the  novel,  from  the  present-day 
point  of  view,  the  greatest  development  in  this  art  has 
been  mainly  since  the  Renaissance,  and  even  to  a  large 
degree  since  the  beginning  of  the  eighteenth  century. 
Unlike  the  novel,  the  progress  of  music  has  been  associ- 
ated with  increasing  perfection  of  mechanical  agencies 
of  expression.  Another  point  in  common  with  the  novel 
is  the  democracy  of  music,  its  wide-spread  popularity, 
which  results  in  a  certain  tendency  to  lower  its  standards 
among  the  masses. 

In  the  general  history  of  art,  the  romantic  movement 
has  special  relations  to  music ;  while  realism,  so  prominent 
in  painting,  has  comparatively  scant  embodiment  in  pure 
music.  The  works  of  Chopin,  Mendelssohn,  and  Bee- 
thoven may  be  compared  in  many  important  respects 
with  the  fictions  of  Manzoni,  Hugo,  and  Pushkin.  The 
relations  of  morality  to  art,  the  contrast  between  the  eccle- 
siastical and  the  secular  service  of  art,  are  other  topics 
which  have  much  in  common  in  the  histories  of  music 
and  of  the  novel. 

The  external  material  of  music  is  not  only  closely  re- 
lated to  that  of  the  novel,  but  is  in  part  actually  identical 
with  it.  This  fact  opens  up  a  very  inviting  field  of  techni- 
cal criticism.  The  sciences  which  most  directly  concern 
this  material  in  the  two  arts,  are  both  branches  of  acous- 
tics; but  the  science  of  music  may  or  must  approach 
more  closely  to  an  exact  mathematical  basis  than  philology. 

Music  resembles  the  novel  in  that  it  is  composed  of 
details  arranged  in  a  temporal  series.  This  fact  makes 
possible  a  comparison  of  many  such  points  as  preparation, 


242  THE   STUDY   OF   A   NOVEL 

reminiscence,  mass,  episode,  cadence,  introduction,  conclu- 
sion, etc.,  in  the  two  arts.  In  orchestral  or  chorus  music, 
the  interweaving  of  separable  elements  resembles  the 
corresponding  composition  of  plot.  The  analysis  of  a 
sonata  or  a  symphony  might  be  helpful  to  the  stu- 
dent of  formal  structure  in  the  novel.  The  "line  of 
emotion"  for  a  novel,  as  given  in  Section  35,  could  often 
be  very  closely  followed  in  musical  interpretation.  In 
general,  the  entire  structure  of  a  great  musical  composition 
will  bear  more  rigid  analytical  investigation  than  that  of 
a  novel.  Instrumental  music  cannot  narrate,  but  it  has 
the  power  to  furnish  a  significant  accompaniment  to  a 
literary  narration,  or  to  suggest  itself  a  series  of  the  prin- 
cipal incidents  already  familiar  in  a  literary  composition. 

Though  the  term  "descriptive"  is  found  in  musical 
criticism,  it  has  not  the  same  application  as  in  fiction. 
The  general  mental  and  emotional  elements  of  a  situation 
can  be  suggested  by  music,  but  it  cannot  reproduce  the 
exact  details  of  place  or  time  settings.  Music  can  give 
the  general  atmosphere  of  the  seasons,  of  morning  and 
of  evening,  but  it  could  not  represent  with  any  accuracy 
the  historical  period  of  Ivanhoe,  or  the  particular  evening 
of  Molly  Cass'  death. 

Compare  the  aesthetic  interpretation  of  Delirium,  Sadness  of  Soul, 
Consolation,  in  Mendelssohn's  Songs  without  Words,  with  the  inter- 
pretation of  similar  themes  in  a  novel. 

The  terms  "  dramatic  "  and  "  lyrical "  are  also  found  in 
musical  criticism.  In  its  way,  music  can  characterize  indi- 
viduals, the  seven  ages  of  man,  or  the  life  of  social  groups. 

Compare  the  presentation  of  the  Scandinavian  peasant  in  the  music  of 
Grieg  with  the  corresponding  literary  descriptions  of  Bjornson,  Lie,  and 
Kieliand.  The  national  characteristics  of  the  Pole  appear  in  the  music 
of  Chopin  as  well  as  in  the  conscious  literary  analysis  of  Sienkiewicz. 


COMPARATIVE   /ESTHETICS  243 

It  is  with  the  lyrical  element  of  fiction  that  music  in 
general  has  the  most  obvious  kinship ;  and  this  fact  once 
more  places  the  short  story  and  the  romance  in  a  separate 
category  from  the  novel.  Music  stands  unrivalled  in  its 
power  to  suggest  the  vague,  the  supernatural,  etc.,  and  to 
produce  all  the  effects  of  sudden  and  delicate  emotional 
transition. 

As  in  the  drama,  so  in  a  musical  performance  by  others 
than  the  composer,  there  is  an  artist  intervening  between 
the  original  artist  and  the  audience;  and  the  physical 
process  of  execution  is  visibly  and  immediately  before  the 
audience. 

A  question  of  special  interest,  which  may  be  taken  as 
representative  of  a  large  class  of  questions  concerning  the 
musical  type  of  style,  is  the  capacity  of  musical  art  to 
express  the  comic. 

In  Silas  Marner,  suggest  the  themes  and  the  general  tone  of  child 
songs  for  Eppie,  and  of  instrumental  accompaniment  for  Aaron.  The 
general  style  of  the  music  in  the  Lantern  Yard  church  service  is  quite 
clearly  indicated  in  the  text.  Among  the  musical  themes  toward  which 
certain  episodes  of  the  novel  point,  are,  the  spirit  of  the  spring  and  of 
the  autumn ;  moods  of  memory,  longing,  and  love ;  the  marriage  of 
peasants ;  labor  at  the  loom ;  the  solitary  Christmas ;  an  old-fashioned 
country  New  Year's  dance;  an  evening  at  the  village  inn;  and  the 
death  of  the  opium  eater. 

194.  Architecture.  —  The  historical  relations  of  classical, 
Gothic,  Renaissance,  and  revived  Gothic  architecture,  have 
definite  analogies  in  the  field  of  fiction.  In  both  arts,  the 
transition  from  ecclesiastical  to  secular  influences,  the 
shifting  of  emphasis  from  a  common  church  to  individual 
nationalities,  has  much  the  same  general  outline.  Doubt- 
less national  schools  have  been  much  more  determinate  in 
the  more  material  art.  One  could  hardly  imagine  Ruskin 


244  THE   STUDY   OF   A  NOVEL 

making  a  plea  for  an  English  school  of  fiction,  with  such 
a  detailed  program  as  he  suggested  for  a  school  of  archi- 
tecture. It  was  in  those  countries  which  had  a  rich  Gothic 
architecture  that  the  romantic  movement  was  most  naturally 
developed.  (Compare  Garnett's  statement,  given  in  Sec- 
tion 153.)  The  Gothic  elements  in  architecture  and  in 
fiction  were  in  one  manner  or  another  connected  in  the 
minds  of  Horace  Walpole,  Goethe,  Scott,  Mrs.  Radcliffe, 
and  Hugo. 

In  external  materials,  architecture  varies  more  than  any 
other  art.  In  part,  it  uses  rare  and  precious  materials, 
associated  mainly  with  artistic  service ;  in  part,  materials 
as  common  and  as  intimately  associated  with  practical  daily 
life  as  language.  In  materials  and  in  structure,  architec- 
ture is  the  most  objective  of  the  arts.  The  average  mind 
is  at  once  impressed  by  the  mere  physical  presence  — 
length,  height,  mass  —  of  a  great  building;  and  these 
characteristics  are  also  of  essential  artistic  meaning.  The 
labor  of  construction,  and  the  comparative  permanence  of 
works  of  architecture,  are  facts  which  make  the  lamp  of 
memory  shine  more  clearly  in  its  domain  than  in  that 
of  fiction.  The  processes  of  material  decay,  addition,  and 
restoration  have  no  analogies  in  the  novel. 

The  relation  of  part  to  whole  is  very  different  in  a  build- 
ing and  in  a  novel.  In  the  former,  there  are  many  details 
which  have  less  artistic  meaning,  separately  considered, 
than  the  single  words  in  a  work  of  fiction.  Yet  it  is  in 
unity  of  structure  that  the  two  arts  may  be  most  readily 
compared.  The  best  plots  in  the  novel  have  a  marked 
architectural  quality.  When  the  mind  grasps  the  general 
design  of  a  cathedral,  the  effect  ceases  to  be  sensuous  and 
becomes  one  of  the  best  examples  of  calm,  free,  intellect- 
ual mastery  over  the  senses  to  be  found  in  any  form  of  art. 


COMPARATIVE   ESTHETICS  245 

In  all  that  concerns  the  warmth  of  concrete  individual 
experience,  the  trivial  affairs  of  the  common  heart,  archi- 
tecture can  offer  no  successful  rivalry  to  the  novel.  It 
cannot  readily  be  associated  with  the  emotional  history  of 
an  individual  artist,  as  every  novel  can  be.  So  far  as 
architecture  serves  practical  purposes  as  a  shelter  from  the 
elements,  and  a  center  for  community  interests,  it  is  con- 
nected with  social  life,  however,  in  a  more  real  manner 
than  the  novel  is. 

In  any  novel  of  ethical  quality,  Ruskin's  interpretation  of  the  lights 
and  shadows  of  architecture  can  be  applied.  In  an  imaginative  view, 
the  note  of  aspiration  in  Silas  Marner  is  Gothic,  the  sceptical  element 
belongs  to  the  Renaissance.  This  novel  is  hardly  simple  enough  in 
general  structure  to  be  classical  ;  not  sensuous  enough  to  be  Oriental. 
There  is  of  course  pronounced  contrast  between  the  lights  and  shadows 
of  human  experience.  The  constant  presence  of  the -author's  personal- 
ity is  an  important  non-architectural  quality.  There  is  too  much  of  her 
feminine  and  personal  view,  too  little  of  the  social,  the  national,  or 
racial,  for  the  spirit  of  architecture. 

195.  Landscape  Gardening.  —  The  Catholic  spirit  of  the 
middle  ages  was  inclined  to  consider  nature  as  under  the 
curse  of  human  sin,  and  given  over  to  the  devil.  The  art 
of  landscape  gardening,  in  modern  Europe,  is  one  of  the 
innumerable  results  of  the  Renaissance  spirit.  At  first  it 
seems  to  have  been  decidedly  aristocratic  in  tendency,  as 
appears  in  the  essay  of  Bacon  on  Gardens,  and  in  similar 
essays  by  later  writers.  In  the  verse  of  the  Restoration 
period,  the  parks  of  London  are  associated  largely  with 
the  sovereign  rather  than  with  the  citizens.  Later,  the 
progress  of  democracy  may  be  followed  in  this  art  in  a 
line  causally  related  to  the  corresponding  line  in  the  history 
of  fiction.  The  schools  of  pseudo-classic,  romantic,  and 
realistic  taste  are  all  represented  in  landscape  gardening. 


246  THE   STUDY   OF  A  NOVEL 

Addison,  for  example,  shows  in  this  respect,  as  in  many 
others,  an  interesting  combination  of  pseudo-classicism  with 
a  foreshadowing  of  Gothic  taste. 

The  external  materials  of  this  art  are  natural  in  a  more 
complete  sense  than  is  true  of  any  other  art.  Landscape 
gardening,  from  one  point  of  view,  might  be  called  the 
most  real  of  all  the  arts ;  and  in  connection  with  real- 
ism, the  idealization  of  nature,  and  especially  with  natural- 
ism, a  comparison  with  the  novel  offers  some  quite  tangible 
points.  In  subject-matter,  it  would  be  very  difficult  to  give 
any  specific  theme  for  a  work  of  landscape  gardening, 
which  could  be  in  any  definite  way  compared  with  themes 
in  the  other  arts. 

There  are  some  analogies,  interesting  to  the  fancy  at  least,  in  the 
relations  of  miniature  compositions  to  life-size  in  this  art  and  in  prose 
fiction.  The  small,  perfectly  kept  city  square  might  be  compared 
in  a  number  of  respects  with  the  short  story ;  while  such  great  master- 
pieces of  the  art  as  Lincoln  Park,  Central  Park,  and  Hyde  Park,  or  still 
more  clearly  the  entire  unified  system  of  parks  in  a  great  modern  city, 
might  be  quite  closely  compared  with  the  full-length  novel,  in  some  very 
important  if  very  broad  qualities  of  style. 


CHAPTER  XIV 
GENERAL  ESTHETIC   INTEREST 

196.  Esthetic  Analysis  and  Esthetic  Theory.  —  If,  with- 
out  any  a  priori  theory  of  what  art  is  or  should  be,  an  in- 
ductive, comparative  study  is  made  of  works  of  art,  certain 
common  elements  are  discovered  in  all  of  them.     It  may  be 
that  no  one  of  these  elements,  or  even  the  combination  of 
them,  will  entirely  distinguish  an  artistic  work  from  a  non- 
artistic  ;  but  a  careful  study  of  them  may  keep  the  student 
from  wandering  too  far  from  facts  in  his  later  theorizing. 

In  the  present  volume,  the  intention  has  been  to  follow,  in  the  main, 
the  method  of  such  an  inductive  study.  A  summary  of  some  of  the 
principal  points  of  analysis  has  been  given  in  Section  189.  In  this  chap- 
ter, the  movement  is,  in  a  general  way,  from  such  analysis  toward  a  more 
free,  and  perhaps  a  more  suggestive,  glance  at  aesthetic  theory. 

197.  Nature  and  Humanity  in  a  Work  of  Art.  —  Art  may 
be  briefly  and  broadly  characterized  as  the  modification  of 
nature  by  man. 

Nature  appears  in  every  work  of  art,  first,  in  a  direct 
manner,  in  the  sensuous  material  which  the  artist  uses  as  a 
medium ;  second,  in  a  more  remote  manner,  in  the  mental 
substance  and  form  —  for  the  artist  takes  his  ideas  largely 
from  nature,  and  arranges  them  in  forms,  particularly  those 
of  space  and  time,  which  are  in  a  real  sense  given  to  man 
by  nature. 

The  humanity  of  a  work  of  art  appears  always  in  the 
personality  of  the  artist  and  the  personality  of  the  recipient ; 
often,  and  in  the  novel  always,  in  the  subject-matter. 

247 


248  THE   STUDY   OF   A  NOVEL 

198.  Language  as  External  Material.  —  Considering 
language  as  an  artistic  medium,  one  may  study  its  an- 
tiquity, beauty,  rarity,  flexibility,  etc.,  in  itself,  or  in  compari- 
son with  the  other  mediums  of  art.  It  has  already  been 
noticed  that  language  is  in  such  constant  use  in  practical 
life  that  the  average  mind  finds  it  somewhat  difficult  to 
acquire  a  keen  sense  of  its  qualities  as  an  artistic  material. 
This  fact  might  be  considered  as  an  advantage  or  a  disad- 
vantage for  the  novelist.  To  the  realistic  novelist,  it  has  a 
certain  clear  advantage. 

No  sensuous  material  can  ever  be  perfectly  satisfactory 
as  a  medium  through  which  to  express  all  the  nature  of  an 
artistic  soul.  This  fact  recalls  the  various  technical  and 
moral  attitudes  of  the  artist  toward  his  material.  He  may 
be  vexed  at  its  limitations,  and  attempt  in  a  rebellious 
spirit  to  transcend  them ;  or  he  may  take  delight  in  calm 
obedience  to  the  will  of  nature,  as  it  appears  in  marble, 
paint,  or  language.  He  may  fail  to  acquire  complete  un- 
derstanding of  his  medium  ;  or  he  may  become  so  absorbed 
in  it  as  almost  to  forget  that  ideas  and  ideals  may  be 
expressed  by  means  of  its  service. 

Some  degree  of  special  interest  in  language  would  naturally  prove 
helpful  in  the  study  of  a  novel.  One  with  a  limited  color  sense  would 
hardly  make  the  most  successful  student  of  painting  ;  one  indifferent  to 
variations  of  tone  would  not  undertake  serious  criticism  of  music  as  an 
art. 

It  is  mainly  the  facts  and  theories  immediately  related  to  the  external 
mediums  of  art  which  give  rise  to  physiological  aesthetics.1  The  physio- 
logical view  of  art  seems  to  require  less  emphasis  in  literature  than  in 
the  non-literary  arts,  because  language  itself  is  only  in  part  to  be  con- 
sidered as  a  sensuous  medium. 

1  For  special  attention  to  this  phase  of  aesthetic  interest  see,  for  example, 
Grant  Allen's  Physiological  Esthetics,  N.Y.,  1877;  and  Veron. 


GENERAL  AESTHETIC   INTEREST 

The  arts  may  be  ranked  according  to  the  materiality  of 
the  mediums  they  employ.  On  this  basis,  Hegel  arranged 
the  scale  of  the  fine  arts  thus :  —  architecture,  sculpture, 
painting,  music,  poetry.1  In  one  important  respect,  there- 
fore, this  philosopher  gives  a  very  high  place  to  the  novel 
(if  considered  as  poetry) ;  though  the  judgment  might  not 
have  much  weight  with  an  anti-Hegelian. 

199.  The  Value  of  Form.  —  Form  is  an  elemental  fact  in 
nature,  and  in  large  part  artistic  form  is  a  more  or  less 
direct  imitation  of  natural   form.     In  a  more   inevitable 
manner,  form  is  an  essential  element  in  all  art,  as  defined 
in  Section  197 ;  the  main  human  modification  of  nature 
being  in  the  form   and   not   in    the    composition    of   the 
material. 

The  student  cannot  escape  the  presence  of  form,  how- 
ever much  he  is  inclined  to  under-estimate  it ;  nor  can  he 
escape  the  fact  that  it  is  mainly  in  this  form  —  external 
and  internal  —  that  the  humanity  and  the  significant  indi- 
viduality of  a  work  of  art  inhere.  His  theory  may  make 
form  less  important  than  matter,  but  his  analysis  must 
invariably  turn  and  return  to  the  development  of  raw  mate- 
rial into  expressive  shape.  (Compare  the  first  conception 
of  style,  in  Section  121.) 

In  the  novel,  form  is  of  emphatic  value,  because  even 
the  external  material  has  almost  no  artistic  meaning  con- 
sidered purely  as  a  natural  product,  and  reveals  the  shap- 
ing mind  of  the  artist  in  all  its  continuous  and  intricate 
details. 

200.  Individuality  of  a  Work  of  Art.  —  The  simple  fact 
that  a  work  of  art  is  given  a  material  embodiment  is  suffi- 

1  See  Weber's  History  of  Philosophy,  English  translation,  p.  524  ff. 


2$0  THE   STUDY   OF   A  NOVEL 

cient  to  give  it  a  physical  individuality  —  for  no  two  por- 
tions of  matter  can  occupy  the  same  place  at  the  same 
time.  Such  individuality,  however,  belongs  to  works  of 
nature  as  well  as  to  works  of  art,  and  guarantees  nothing 
more  than  such  numerical  identity  as  is  found  in  every 
grain  of  sand.  In  works  of  art  made  by  machinery,  also, 
two  pieces  may  be  alike  so  far  as  the  eye  can  detect ;  and 
of  exactly  equal  artistic  value,  so  far  as  the  imagination 
can  discover.  It  is  human  mind  or  human  hands  which 
give  noblest  form  to  a  composition,  and  it  is  practically 
impossible  for  the  mind  to  think  twice  in  exactly  the  same 
manner ;  or  for  the  hands  to  repeat  their  execution 
exactly,  in  a  true  expression  of  mind. 

The  last  fact  does  not  prove  that  every  novel  has  a  note- 
worthy value  of  beauty  or  moral  stimulus ;  but  it  does 
indicate  that  every  novel  is  an  unmistakably  individual 
work  from  the  strictly  historical,  social,  and  psychological 
points  of  view.  There  are  no  real  duplicates  in  the  history 
of  fiction ;  for  there  are  no  two  novels  with  the  same 
arrangement  of  words. 

201.  Unity  —  General  Design.  —  Unity  may  be  viewed 
as  a  characteristic  of  external  nature,  or  as  an  ideal  of  the 
human  mind.  In  either  case  it  extends  beyond  the  boun- 
daries of  art ;  but  in  art  there  is  an  unusual  opportunity  to 
conceive  and  attain  a  satisfactory  form  of  unity.  Even 
without  definite  purpose  of  the  artist,  and  apart  from  all 
theory  as  to  what  art  should  be,  a  significant  degree  of 
unity  is  found  in  every  work  of  art,  through  a  necessity 
of  the  artistic  process. 

In  some  works,  a  more  satisfying  unity  may  be  found  in  certain 
details  than  in  the  composition  as  a  whole.  In  the  novel,  examine  the 
unity  of  sentences,  paragraphs,  and  chapters ;  of  single  incidents  and 
single  characters. 


GENERAL  ESTHETIC   INTEREST  251 

Examples  of  well-unified  chapters  were  given  in  Chapter  I.  In  Silas 
Marner,  unity  of  character  is  perhaps  best  represented  in  some  of  the 
minor  dramatis  personae  —  Mrs.  Winthrop  and  Macey,  for  example. 
The  marriage  of  Eppie  is  one  of  the  most  thoroughly  unified  events  of 
the  novel.  Make  a  study  comparing  these  and  similar  details  with  the 
details  of  a  musical  composition,  a  painting,  and  a  cathedral. 

It  is  in  the  general  design  that  the  most  severe  test  of 
unity  is  found.  In  the  novel  this  design  is  a  larger  value 
than  plot,  in  the  narrow  sense  of  unified  action.  Whether 
it  include  details  outside  the  illusion  or  not,  is  a  matter 
of  definition ;  but  it  is  clear  that  in  an  important  sense, 
every  word  in  the  novel  belongs  to  a  single  composition. 
(Compare  Sections  4  and  29.)  A  high  standard  of  unity 
demands  that  all  the  author's  comment,  dramatic  or  non- 
dramatic,  brief  or  extended,  should  have  clear  and  vital 
relation  —  intellectual,  imaginative,  or  emotional  —  to  the 
general  design  of  the  work. 

Unity  may  be  examined  with  reference  to  the  author, 
the  work  itself,  or  the  effect  upon  the  reader.  The  short 
story  is  often  very  well-unified  in  the  last  particular.  (See 
the  glossary,  under  '''impression.")  In  the  work  itself, 
the  central  unity  may  be  found  in  incident,  character 
(compare  Smollett's  definition  of  a  novel,  in  the  notes  on 
novelistic  criticism),  or  character  group,  setting,  theme,  or 
style ;  or  it  may  be  impossible  to  locate  it  in  any  one 
element.  The  novel  proper  is  more  likely  to  emphasize 
character,  in  this  function  ;  the  romance  often  centralizes 
in  incident ;  the  short  story  is  very  variable. 

Again,  unity  may  be  viewed  as  physical,  intellectual,  or 
moral.  Physical  unity  is  only  indirectly  represented  in  the 
novel ;  and  can  be  best  examined  in  the  spatial  arts.  In- 
tellectual unity  belongs  most  clearly  to  a  true  philosophical 
interpretation,  either  in  the  author  or  the  reader.  Moral 


252  THE   STUDY   OF   A   NOVEL 

unity,  found  in  a  free  and  fearless  soul,  that  remembers 
the  maxim,  "A  foolish  consistency  is  the  hobgoblin  of 
little  minds,"  would  be  considered  almost  the  supreme 
excellence  of  a  novel  by  some  ethical  critics. 

Unity  may  be  called  simple  or  complex,  in  reference  to 
the  amount  and  variety  of  material  unified ;  and  in  art 
each  of  these  types  of  unity  has  its  peculiar  interest.  A 
very  simple  unity  is  studied  to  better  advantage  in  the 
plastic  arts  or  in  the  short  story  than  in  the  novel.  The 
unity  of  a  novel,  when  attained,  is  comparable  with  that 
of  a  large  scientific,  historical,  or  philosophical  generali- 
zation. 

In  connection  with  the  last  point,  one  may  note  as  ten- 
dencies which  endanger  a  satisfactory  form  of  unity  :  the 
failure  to  exhibit  a  complexity  sufficient  to  make  the  unifi- 
cation of  it  a  real  artistic  achievement,  a  victory  of  imagina- 
tion or  character  over  the  confusion  of  mere  phenomena ; 
the  opposite  error  of  accumulating  more  material  than  can 
be  given  vital  unity ;  and  the  assumption  of  a  superficial 
unity,  that  cannot  endure  careful  investigation. 

202.  Contrast.  —  As  with  unity,  contrast  may  be  con- 
sidered as  an  element  in  the  nature  of  things,  or  in  the 
nature  of  the  mind  (compare  Section  101,  Royce);  but  in 
art  there  is  special  opportunity  to  express  it  in  significant 
and  attractive  forms.  Contrast  is  so  easily  conceived  that 
the  chief  danger  is  often  that  of  over-use  of  its  resources. 
This  opportunity  and  this  danger  are  probably  more 
obvious  in  the  short  story  and  the  romance  than  in  the 
novel  proper ;  yet  because  contrast  is  so  important  a  fact 
in  life  itself,  it  must  have  a  considerable  place  in  extended 
realistic  fiction. 

In  the  novel,  contrast  may  be  found  within  the  limits  of 


GENERAL  AESTHETIC   INTEREST  253 

a  single  element,  as  in  a  paradoxical  character ;  or  in  the 
relations  of  two  elements,  as  in  contrast  of  incident  and 
setting,  of  theme  and  character,  etc.  It  may  appear  in  the 
consecutive  structure,  in  small  or  large  units ;  or  be  em- 
bodied in  more  complex  manner  in  the  warp  and  woof  of  the 
"  internal  structure."  Contrast  in  the  novel  cannot  have 
that  direct  appeal  to  the  senses  which  it  may  have  in  the 
spatial  arts,  and  it  is  likely  for  that  reason  to  be  more 
intellectual  or  more  moral  in  immediate  quality.  Again, 
the  novel  must  study  contrast  as  it  appears  in  concrete 
incidents,  persons,  and  places,  warm  with  human  associa- 
tion ;  and  cannot  make  that  direct  appeal  to  the  intellectual 
interest  in  abstract  contrast,  possible  in  music  or  archi- 
tecture. 

In  plot-analysis,  two  large  phases  of  contrast  have 
already  been  noted  —  that  between  the  rise  and  the  fall 
of  the  action,  and  that  between  play  and  counter-play. 

In  Silas  Marner,  an  example  of  a  broad  contrast,  which  can  be  carried 
out  into  considerable  detail,  is  found  in  the  relations  of  Lantern  Yard 
and  Raveloe.  Note  the  two  congregations,  the  two  churches,  the  two 
pastors,  the  two  life-episodes  in  the  hero  himself,  etc.  Contrast  in  the 
life  of  Lantern  Yard  itself  is  found  between  the  picture  in  the  early  part 
of  the  novel,  and  that  of  the  visit  in  Chapter  XXI.  —  The  general  con- 
trast between  the  joyous  and  the  sad  in  this  novel  has  already  been 
compared  with  the  lights  and  shadows  of  architecture.  (Section  194.) 

203.  Proportion.  — Of  this  quality,  once  more,  fiction  can- 
not give  so  direct  and  sensuous  evidence  as  the  spatial  arts  ; 
but  the  general  principle  of  proportion  can  be  traced  in  a 
well-constructed  novel,  with  the  result  of  increased  aesthetic 
delight.  In  music  and  the  spatial  arts,  repetition,  audible 
and  visible,  respectively,  is  a  means  of  bringing  out  the 
value  of  proportion  which  is  much  less  definitely  used  in 
the  novel. 


254  THE   STUDY  OF  A   NOVEL 

A  certain  degree  of  artistic  proportion  may  sometimes 
be  found  in  the  alternation  of  dialogic  and  non-dialogic 
form.  (See  Section  28.)  Often,  in  the  novel,  better 
examples  of  proportion  are  found  in  the  relation  of  small 
parts  to  a  large  part,  than  in  the  relation  of  parts  to  the 
whole  composition.  In  a  well-constructed  episode  there  is 
often  a  satisfactory  proportion  between  the  incidents  and 
the  event,  and  between  events  and  episode.  In  any  scene 
which  would  be  called  finely  artistic,  there  is  a  true  dis- 
tribution of  values  between  the  characters,  the  action  and 
the  settings.  In  the  novel  as  a  whole,  common  sense  or 
moral  sense  may  demand  a  reasonable  proportion  between 
mass  and  artistic  meaning,  between  exhibition  and  inter- 
pretation, and  between  the  tragic  and  the  comic. 

As  an  example  from  Silas  Marner,  study  the  value  of  proportion  in 
the  relation  of  the  Lantern  Yard  and  the  Raveloe  life  —  in  number  ot 
incidents  and  characters,  in  space  given  to  exhibition  and  interpreta- 
tion, in  the  massing  at  important  turning  points,  etc. 

204.  The  Comic  and  the  Tragic.  —  An  initial  idea  of 
these  qualities  may  be  gained  by  a  suggestive  contrast  of 
their  characteristics.  The  following  analysis  may  not 
prove  very  accurate,  but  it  leads  the  way  to  an  examina- 
tion of  the  contrast  in  concrete  examples.  It  is  not  to  be 
assumed  that  any  one  item  is  sufficient  to  distinguish  the 
two  qualities,  but  a  combination  of  several  may  be  a  fairly 
accurate  test. 

THE  COMIC  THE  TRAGIC 

(1)  The  social.  The  individual. 

(2)  The  pleasurable.  The  painful. 

(3)  The  normal.  The  abnormal. 

(4)  The  intelligible.  The  unintelligible. 

These  characteristics  may  be  examined  in  the  experience 
of  life  itself,  as  well  as  in  art.  In  both  life  and  art,  among 


GENERAL  /ESTHETIC   INTEREST  255 

common  conceptions  of  tragic  condition  are  social  ostra- 
cism (compare  the  treatment  of  exile  in  the  epic  and  the 
drama),  disease,  insanity,  crime,  sin,  and  death. 

Pseudo-madness  is  a  favorite  motif  through  which  to  suggest  the 
tragic  without  fully  entering  its  domain,  as  in  The  Comedy  of  Errors. 
Temporary  madness  may  also  be  introduced  with  comic  effect,  as  in 
A  Midsummer  Night's  Dream.  Compare  the  treatment  of  madness  in 
Don  Quixote  and  in  Sir  Launcelot  Greaves.  Smollett  had  the  power 
and  the  tendency  to  treat  insanity  both  in  a  spirit  of  Gothic  horror,  and 
in  a  spirit  of  Shakespearian  burlesque. 

Compare  the  treatment  of  death  in  the  beginning  of  Sense  and 
Sensibility  and  in  Silas  Marner.  In  the  former  example,  death  is 
scarcely  tragic,  because  it  is  considered  as  a  normal  event,  and  looked 
at  from  a  social  point  of  view  —  the  view  of  comparatively  happy  living 
persons,  who  dominate  the  interest  of  the  author  and  the  reader.  The 
responses  of  Miss  Austen  and  George  Eliot  to  Queen  Gertrude's 
truism,  — 

"  Thou  know'st  'tis  common ;  all  that  lives  must  die, 
Passing  through  nature  to  eternity," 

are  curiously  unlike.  Very  famous  tragic  conceptions  of  death  are 
found  in  Werther  and  in  Clarissa.  Analyze  the  manner  in  which  Rich- 
ardson gives  to  the  death  of  his  heroine  an  unusually  tragic  effect. 

Any  element  of  the  comic  or  the  tragic  may  be  noted 
in  the  physical,  mental,  or  moral  world.  Each  world  has 
its  own  comic  and  tragic  aspects,  and  a  combination  of 
these  aspects,  or  a  contrast  between  them,  offers  a  rich 
opportunity  to  the  artist.  Moral  tragedy  is  sure  to  be 
found  in  all  the  greatest  novels,  in  some  form  or  other ; 
but  the  treatment  of  what  might  be  called  intellectual 
tragedy  —  the  tragedy  of  the  thinker  —  is  a  specially 
favorite  motif  with  many  modern  writers. 

The  comic  or  the  tragic  may  be  found  in  either  character  or  inci- 
dent ;  and  even  the  settings  incline  in  the  one  direction  or  the  other,  by 
way  of  association.  Other  analyses  may  follow  the  contrast  into  the 
human  and  the  superhuman,  and  into  the  exhibition  and  interpretation. 


256  THE    STUDY   OF   A   NOVEL 

In  connection  with  plot,  a  very  important  phase  of  the 
relation  of  the  comic  to  the  tragic  is  found  in  movements 
from  one  to  the  other.  There  are  some  situations  without 
apparent  tendency  in  either  direction  —  in  equilibrium ; 
but  most  important  situations  tend  decidedly  in  one  direc- 
tion or  the  other.  The  four  main  movements  are,  (i)  from 
the  comic  to  the  more  comic ;  (2)  from  the  comic  to  the 
tragic  5(3)  from  the  tragic  to  the  more  tragic ;  and  (4)  from 
the  tragic  to  the  comic.  These  four  movements  are  not  of 
equal  frequency  in  plot-formation,  or  of  equal  value  for 
artistic  effect.  They  may  be  traced  not  only  in  the  plot 
as  a  whole,  but  in  single  actions,  in  episodes,  single  events, 
etc.  The  "avoidance"  of  comic  or  tragic  result  when  it 
seems  inevitable,  produces  some  striking  effects.  A  point 
or  situation  of  "final  suspense,"  suggesting  possible  tragedy 
or  possible  comedy,  before  a  catastrophe  of  opposite  char- 
acter, is  found  in  perhaps  the  majority  of  well-formed  plots. 

205.  The  Beautiful  and  the  Unbeautiful.  —  The  novel 
cannot  rival  several  of  the  other  arts  in  the  presentation 
of  absolute  beauty.  If  the  analysis  of  novelistic  style  in 
Chapter  VIII  was  correct,  the  novel  is  not  by  nature  de- 
voted to  the  purely  beautiful.  One  must  turn  to  painting, 
music,  sculpture,  or  lyric  poetry  for  the  embodiment  of 
untroubled  beauty ;  and  the  short  story  is  better  adapted 
to  its  expression  than  is  the  novel. 

The  unbeautiful  in  a  work  of  art  may  be  justified  —  or 
explained  —  in  various  ways,  of  which  these  are  among 
the  more  important :  it  may  be  introduced  for  the  sake  of 
increasing  the  effect  of  the  beautiful ;  or  for  the  sake  of 
truth,  conceived  as  a  nobler  reality  than  beauty ;  or  it  may 
be  allowed  because  it  is  presented  with  so  much  imagina- 
tion —  the  ideal  rather  than  the  beautiful  being  considered 


GENERAL  /ESTHETIC   INTEREST  257 

the  supreme  test  of  art.  (See  Moulton's  study  of  Richard 
Third  as  the  "  ideal  villain.")  Struggle  is  commonly  sup- 
posed to  be  an  important  element  of  the  dramatic,  and  the 
great  novels  are  usually  characterized  by  a  large  dramatic 
element.  Note  the  bearing  on  this  conception  of  the  fol- 
lowing statement  of  a  philosopher :  "  When  we  regard 
morality  as  involving  a  struggle  of  the  will,  it  can  scarcely 
impress  us  as  beautiful."  l 

As  in  the  other  analyses  of  this  chapter,  the  beautiful  and  the  un- 
beautiful  may  be  traced  in  details,  or  in  the  whole  work ;  in  characters, 
sentiments,  or  incidents  ;  in  the  physical,  mental,  or  moral  domain. 

Akin  to  the  beautiful,  if  not  considered  as  phases  of  it,  are  the  sub- 
lime, the  picturesque,  the  graceful,  etc.  Related  to  the  conception  of 
the  unbeautiful  in  somewhat  the  same  manner,  are  caricature  and  the 
grotesque. 

206.  Artistic  Truth.  —  Truth  may  be  conceived  as  fidelity 
to  something  outside  the  mind  of  the  author  —  fidelity  to 
individual  facts ;  to  the  typical  elements  in  those  facts  ;  to 
the  goal  toward  which  life  seems  to  be  moving,  or  to  the 
purpose  which  seems  to  direct  it.  Another  view  of  truth 
in  art,  more  subjective,  locates  it  in  the  mind  of  the  artist. 
It  may  then  take  the  form  of  faithful  record  of  his  im- 
pressions of  the  outer  world ;  or  the  form  of  perfect  alle- 
giance to  the  ideal  of  his  own  inner  world.  In  either  of 
these  views,  artistic  truth  is  substantially  equivalent  to 
sincerity.  These  various  conceptions  are  obviously  con- 
nected in  part  with  some  of  the  familiar  "  isms  "  in  fiction. 

The  large  scope  of  the  novel  offers  abundant  opportunity 
for  violation  of  truth,  as  in  life  itself  it  is  more  difficult  to 
speak  truth  through  a  long  career  of  various  circumstances 
than  through  the  commonplace  events  of  an  average  day. 
In  the  difficulties  due  to  the  large  array  of  miscellaneous 

1  Mackenzie :  Manual  of  Ethics  ;  3d  ed.  p.  30. 


258  THE   STUDY   OF   A  NOVEL 

data  which  he  reviews,  to  the  effort  of  attaining  verisimili- 
tude and  unity  of  thought,  the  novelist  is  often  tempted 
from  the  straight  and  narrow  way,  when  the  disciple  of  a 
simpler  form  of  art  might  escape  the  danger. 

Truth  is  sometimes  spoken  of  as  either  negative  or  posi- 
tive. Reticence  may  give  a  false  impression,  and  then 
arises  the  question,  how  far  is  the  artist  to  be  blamed  for 
the  erroneous  result  ?  It  has  been  previously  noticed  that 
the  biblical  Book  of  Esther  is,  so  far  as  the  text  is  con- 
cerned, absolutely  atheistic,  in  a  negative  way ;  but  this 
fact  does  not  imply  that  the  work  contains  any  positive 
atheism,  or  that  the  author  was  aware  that  he  might  pro- 
duce a  non-religious  impression.  Perhaps  the  artist  cannot 
be  placed  upon  the  witness-stand  to  give  "  The  truth,  the 
whole  truth,  and  nothing  but  the  truth,"  so  help  him  God ; 
though  to  the  great  artists,  the  situation  is  fully  as  serious 
as  that  of  a  court  of  justice. 

Sidney's  Defense  attempts  to  answer  the  old  complaint  that  poetry 
is  a  lie.  He  declares,  "  Now  for  the  poet,  he  nothing  affirmeth,  and 
therefore  never  lieth.  "  This  statement  may  be  in  some  respects  no 
more  than  sophism ;  but  in  another  view,  it  seems  to  note  clearly  an 
important  fact  in  the  nature  of  artistic  fiction. 

207.  Artistic  Illusion.  —  The  artist  finds,  to  a  certain  de- 
gree, a  model  for  the  aesthetic  effects  of  illusion  in  nature 
herself.  No  one  who  has  admired  the  marvelous  mirages 
of  seacoast  or  lakeshore  could  fail  to  see,  imaginatively, 
the  resemblance  between  them  and  the  dream-pictures  of 
human  fancy.  The  student  of  psychology  could  make 
an  interesting  comparison  between  the  development  and 
effects  of  artistic  illusion,  and  those  of  insanity,  hallucina- 
tion, and  kindred  forms  of  morbid  mental  condition. 

In  the  reception  of  art,  "  conviction"  of  the  imagination  is  one  mat- 
ter ;  of  the  judgment,  another.  Probably  a  few  weak  minds  here  and 


GENERAL  /ESTHETIC   INTEREST  259 

there  have  been  insanely  convinced  of  the  reality  of  fiction.  The  degrees 
between  such  insanity  and  cold-blooded  refusal  to  enter  the  illusion  an 
artist  has  prepared,  make  an  interesting  scale,  and  raise  some  delicate 
points  in  the  theory  of  aesthetic  interpretation. 

In  a  complete  and  constant  value,  illusion  is  found  only 
in  the  representative  arts  ;  but  it  has  a  minor  occasional 
function  in  architecture  and  music.  To  the  layman,  its 
values  seem  to  be  most  clearly  shown  in  painting  and  in 
the  drama. 

In  painting,  a  curious  if  not  strictly  legitimate  example  of  the  shading 
from  reality  to  illusion  is  found  in  the  cyclorama — with  its  real  objects 
in  the  foreground.  Compare  the  combinations  of  painting  or  sculpture 
with  a  background  of  real  landscape. 

Illusion  is  produced  by  means  of  an  arrangement  of  real 
materials,  and  it  often  happens  that  these  materials  inter- 
fere with  the  illusion.  For  a  simple  example,  if  in  a  novel 
a  medieval  character  should  use  the  scientific  language  of 
the  nineteenth  century,  it  is  not  probable  the  scientific 
reader  would  "  believe"  in  the  reality  of  that  character  — 
though  he  might  choose  to  be  deceived,  for  the  sake  of 
aesthetic  delight.  Except  in  the  purely  dramatic  novel,  a 
continuous  illusion  is  rarely  attempted  ;  and  in  few  novels 
of  any  form  is  it  attained  with  complete  success.  A  distinc- 
tion could  be  made  between  narrative  illusion  —  the  imagi- 
native conviction  that  the  events  related  have  happened ; 
and  dramatic  illusion  —  the  corresponding  belief  that  those 
events  are  happening  in  the  present  time. 

A  discussion  of  the  methods  of  producing  illusion  would  be  in  large 
part  a  review  of  recent  studies  of  realism.  Professor  Moulton's  analysis 
of  the  methods  of  "  rationalization  "  and  "  derationalization  "  in  relation 
to  the  drama,  ought  to  prove  helpful  to  the  student  of  the  novel. 

There  is  perhaps  no  English  novelist  in  whom  artistic  illusion  of  a 
realistic  type  can  be  examined  with  more  profit  than  in  Defoe,  and  no 


260  THE   STUDY   OF   A   NOVEL 

better  novel  for  this  purpose  than  The  Plague  Year.  Compare  these  two 
statements  regarding  that  work  :  —  "It  is  fictitious  throughout "  (Cross, 
page  29)  ;  — "  Now  Defoe's  work  is  not?a  fiction,  nor  is  it  based  upon 
fiction  ;  and  great  injustice  is  done  to  his  memory  so  to  represent  it.1' 
(Introductory  Observations,  Brayley's  edition,  1882.) 

208.  Theories  of  Art.  —  A  comparison  of  representative 
theories  shows  that  some  of  them  keep  quite  close  to  the 
nature  of  art  —  as  analyzed  in  Section  189;  and  that 
others  seem  to  arise  without  particular  reference  to  such 
nature,  possibly  in  violation  of  it. 

A  few  broad  and  familiar  conceptions  of  art  readily 
applicable  to  the  novel  may  be  given,  in  a  very  condensed 
statement. 

1.  Art  is  an  imitation  of  nature ;  as  accurate  as  possible. 
(Aristotelian,  realistic  conception.) 

2.  Art  transcends  nature  ;   is  a  human  escape  from  its 
ugliness,   complexity,  transitory   quality,  etc.      (Platonic, 
idealistic  conception.) 

3.  Art  is  an  expression  of  the  individuality  of  the  artist. 
(Lyrical,  impressionistic  conception.) 

4.  Art   is    a  specialized   (emotional,  moral)   means   of 
communication    between    man    and    man.      (Sociological 
conception.) 

In  the  study  of  an  individual  novel,  the  question  is, 
which  of  these  conceptions  does  the  novel  best  embody  ? 
and  which  of  them,  if  any,  did  the  novelist  have  in 
mind  ? 

As  an  inductive  study,  it  would  be  interesting  to  compare 
a  considerable  number  of  conceptions  of  art  by  eminent 
critics,  and  reduce  them,  so  far  as  possible,  to  common 
terms.  The  non-scientific  student  might  find  greater  pleas- 
ure in  applying  to  the  novel  the  conceptions  of  thinkers 
whom  he  recognized  as  personal  masters. 


GENERAL   ESTHETIC   INTEREST  261 

The  following  application  of  specific  ideas  of  art  to  Silas 
Marner  is  merely  illustrative  :  — 

.  "  In  Art,  the  paramount  appeal  is  to  the  Emotions  —  its  purpose  be- 
ing pleasure.11  (G.  H.  Lewes.)  —  The  main  appeal  of  the  hero,  in  his 
character  and  his  history,  and  of  most  of  the  other  characters,  is  largely 
to  the  emotions  ;  but  "  pleasure  "  would  need  a  rather  broad  definition 
to  be  considered  as  the  real  purpose  of  this  novel.  Such  definition, 
however,  is  very  common  in  aesthetic  criticism. 

"Art  is  a  human  activity,  consisting  in  this,  that  one  man  consciously, 
by  means  of  certain  external  signs,  hands  on  to  others  feelings  he  has 
lived  through,  and  that  other  people  are  infected  by  these  feelings  and 
also  experience  them."  (Tolstoi.)  —  George  Eliot  lived  through  emo- 
tions similar  to  those  of  her  hero,  in  her  personal  moral  history ;  the 
feelings  of  some  of  the  other  characters  she  experienced  only  in  the 
imagination.  Is  this  second  form  of  emotional  experience  outside  of 
Tolstois  conception  ?  Silas  Marner  has  been  a  literary  success,  only 
in  part  a  popular  success  ;  so  that  it  only  partially  satisfies  the  last 
requirement  of  Tolstoi. 

"  All  the  great  arts  have  for  their  object  either  the  support  or  exalta- 
tion of  human  life,  —  usually  both."  (Ruskin.) — In  Silas  Marner, 
support  is  given  to  human  life  by  the  spectacle  of  patience  under  suffer- 
ing ;  and  by  the  exhibition  of  rational,  moral  law  governing  the  individ- 
ual and  social  life.  There  is  a  certain  exaltation  of  human  life  in  the 
beauty  and  fearless  fidelity  of  Eppie,  and  in  the  happiness  which 
radiates  from  her  ;  but  on  the  whole,  in  this  novel  and  in  her  other 
works,  George  Eliot  is  inclined  to  look  upon  life  as  a  matter  of  noble 
endurance  rather  than  of  brilliant  victory. 

"Art  must  make  obvious  .  .  .  the  structure  of  the  actual  world,  the 
forms  of  its  connection,  and  the  absolute  value  and  significance  of  these 
forms."  (Lotze.)  —  It  is  clear  that  this  idea  of  art  calls  for  interpreta- 
tion as  well  as  exhibition.  It  demands  some  philosophical  power  in  the 
artist,  and  George  Eliot  has  this  beyond  the  majority  of  novelists. 
Among  forms  of  connection  of  the  actual  world  which  Silas  Marner 
interprets,  are  the  bonds  of  the  family,  the  relations  of  the  church  to 
the  individual  life,  of  one  generation  to  the  following  ones,  etc.  The 
absolute  value  and  significance  of  the  family,  for  example,  are  clearly  not 
found  in  mere  sensual  happiness,  but  in  the  moral  development  of  its 
members. 


262  THE   STUDY   OF   A   NOVEL 

209.  Theories  of  the  Novel.  —  Many  conceptions  of  what 
the  novel  is  or  should  be  are  essentially  conceptions  of 
what  all  art  is  or  should  be,  and  embody  the  ideas  just 
examined,  or  similar  ones.  Other  theories  endeavor  to 
distinguish  the  novel  from  other  forms  of  art,  and  belong 
under  comparative  aesthetics.  Narrowing  the  field  still 
more,  are  those  theories  which  define  the  novel  in  relation 
to  other  forms  of  literature.  (Comparative  rhetoric.) 

Artists  differ  so  much  in  the  combination  of  creative  and  critical 
interest,  it  may  well  be  that  some  of  the  masterpieces  of  fiction  were 
produced  without  much  attention  to  theory  ;  but,  on  the  whole,  the 
novelist  has  had  the  critical  temper,  and  it  is  usually  possible  to  discover 
what  theory  preceded,  accompanied,  or  followed  the  creation  of  a  great 
novel,  in  the  mind  of  the  author. 

The  following  brief  summary  of  some  important  general 
conceptions  of  the  novel  is  in  part  a  review  of  previous  state- 
ments. Each  of  these  conceptions  should  be  compared  with 
the  theories  of  art  given  in  the  preceding  section.  Other 
ideas  about  the  general  nature  of  the  novel  will  be  found 
in  the  glossary,  under  "novel,"  and  in  the  notes  on  the 
history  of  novelistic  criticism. 

1.  The  novel  is  not  in  a  strict  sense  a  determinate  form 
of  art  —  it  has  no  "  style  "  of  its  own  —  but  is  a  mixture  of 
various  genres ,  or  a  type  still  in  the  process  of  becoming. 
It  obeys  no  "laws,"  and  obedience  to  laws  is  a  necessary 
sign  of  a  true  form  of  art. 

2.  The  above  view  is  antagonistic  ;  but  the  same  facts 
may  be  accepted  with  a  favorable   interpretation.     The 
novel  is  the  most  comprehensive  form  of  representative 
art  that  man  has  discovered  ;  and  the  most  flexible  in  add- 
ing interpretation  to  exhibition.     It  is  the  true  universal 
art ;  and,  in  an  ideal  sense,  the  true  composite  art. 


GENERAL  ESTHETIC   INTEREST  263 

3.  The  novel  is  an  artistic  response  to  the  demands  of 
modern  individualism. 

(a)  With  reference  to  the  author,  the  novel  allows   a 
more  extended  interpretation  of  experience,  a  more  com- 
plete expression  of  ideals,  a  more  adequate  imagination  of 
a  satisfying  life-history,  than  any  other  form  of  art. 

(b)  With  reference  to  the  novel  itself,  the  main  subject 
is  the  individual  life  (especially  the  slow  development  of 
character  under  complex  circumstances). 

(c)  With  reference  to  the  reader,  individuality  is  satis- 
fied in  much  the  same  general  manner  as  in  the  author. 

4.  The  novel  is  sociological.     It  excels  every  other  form 
of  art  in  its  power  to  represent  social  life,  in  response  to 
social  conditions,  and  in  its  appeal  to  the  social  sense. 
There  are  many  sub-varieties  of  this  conception ;  based  in 
part  on  different  ideas  as  to  just  what  "  section  of  life  " 
should  be  represented,  and  in  just  what  manner. 

210.  Judgment  of  a  Novel.  —  Many  persons  consider  that 
ability  to  enjoy  a  work  of  art  is  more  desirable  than  ability 
to  give  a  correct  judgment  of  it.  This  view  is  specially 
frequent  in  reference  to  the  novel.  Another  idea  draws 
a  somewhat  sharp  line  between  an  inductive  analysis  of 
a  work  of  art,  pursued  in  a  scientific  spirit,  and  the  old- 
fashioned  criticism  by  means  of  preconceived  standards.1 

In  the  present  volume,  the  endeavor  has  been  to  accept,  in  consider- 
able measure,  the  scientific  spirit.  All  of  the  preceding  study,  if  one 
wishes,  may  be  considered  as  simply  a  preparation  for  higher  ends  — 
either  of  pleasure  or  of  aesthetic  judgment.  To  examine  these  ends 
systematically,  so  far  as  systematic  treatment  might  be  desired,  would 
require  another  volume.  A  few  paragraphs  must  here  suffice  to  sug- 
gest a  transition  from  the  analytical  to  the  judicial  attitude. 

1  See  Moulton's  Introduction,  Hennequin,  and  various  criticisms  of  their 
views. 


264  THE   STUDY  OF   A   NOVEL 

Two  methods  of  judging  a  novel  might  be  called,  with 
some  degree  of  correctness,  the  quantitative  and  the  quali- 
tative. The  former  method  takes  account  of  all  varieties 
of  excellence  and  defect,  and  judges  in  accordance  with 
the  resulting  sum  of  values.  The  latter  method  selects 
some  one  master  test,  conceived  as  a  summum  bonum  for 
the  novel,  and  the  individual  work  is  ranked  high  or  low 
as  it  meets  or  fails  to  meet  this  test.  The  dogmatic  critics 
accept  the  second  method,  though  not  agreeing  among 
themselves  as  to  what  the  single  test  should  be. 

Again,  one  may  attempt  to  judge  the  novelist,  the  novel 
itself,  or  the  novel  as  it  affects  the  reader.  Judgment  of 
the  author  may  be  based  upon  his  character,  his  purpose, 
or  the  degree  of  success  in  attaining  his  purpose.  It  is  a 
delicate  matter  often,  in  art  as  in  life,  to  discover  just  what 
human  purpose  is,1  and  the  critic  may  well  note  the  appli- 
cation of  the  biblical  "judge  not"  to  his  own  special  field. 
The  judgment  of  a  novel  in  itself  may  note  only  the  inward 
relations  of  beauty,  consistency,  etc.,  or  it  may  compare 
the  presentation  of  the  novel  with  the  outside  real  world 
represented,  directly  or  through  fictitious  imagery.  Judg- 
ment of  a  novel  by  the  effect  it  produces  can  never  be 
entirely  a  judgment  of  the  novel  itself ;  for  its  influence  is 
never  exerted  without  the  cooperation  of  other  influences. 

In  all  forms  of  judgment,  if  the  critic  has  a  clear  theory 
of  the  novel,  it  will  be  brought  to  the  front ;  and  many 
obscure  theories  often  emerge  from  the  darkness — theories 
of  life  as  well  as  of  art  —  so  soon  as  he  essays  to  give  a 
final  verdict  upon  a  work  produced  by  his  fellow-man. 

1  See  Mackenzie :  Manual  of  Ethics;  3d  ed.,  p.  136. 


APPENDIX 


I.   SYSTEMATIC  ANALYSIS   OF   A   NOVEL 

A  MORE  or  less  definite  method  of  analysis  is  often  implied  in 
reviews  or  studies  of  fiction,  without  any  announcement  of  it. 
Many  critics,  particularly  those  of  impressionistic  creed,  object 
vigorously  to  detailed  formal  analysis. 

In  the  following  examples  the  method  is  clearly  stated  by  the 
critic.  In  some  cases  the  general  outline  of  analysis  was  planned 
for  several  types  of  literature,  but  in  all  it  has  been  applied  to  the 
novel.  In  the  present  statement,  only  the  main  heads  are  given 
when  there  is  much  subdivision,  and  some  alterations  and  ex- 
planations have  been  made,  the  most  important  being  indicated 
by  brackets.  The  purpose  here  is  simply  to  suggest  a  compara- 
tive view,  and  the  student  should  consult  the  originals.  The  ex- 
amples are  arranged  in  chronological  order. 

Compare  analyses  of  epic  and  drama.  See  also  some  references 
in  the  Bibliography,  and  examine  the  introductions  to  novels 
edited  for  school  purposes.  For  many  technical  terms,  consult 
the  Glossary. 

i.  Fielding.  (Prefaces  to  David  Simple,  Tom  Thumb,  Covent  Garden 
Tragedy,  and  Joseph  Andrews.)  A  plan  for  the  "regular  examination"  of 
drama  and  novel. 

I.  The  Fable.  —  (II.  The  Action.)  —  III.   Incident.  —  IV.  The  Char- 
acters.—V.  The  Sentiments.— (VI.  The  Moral.) —VII.  Diction 
—  which  is  the  "  lowest  perfection  in  a  writer  and  one  which 
many  of  great  genius  seem  to  have  little  regarded." 
265 


266  APPENDIX 

2.  Dunlop.     (Chapter  I.)     "  Points  chiefly  to  be  considered  in  a  novel  or 
romance."     [Mainly  for  judicial  criticism.] 

I.  The  Subject.     (Story ;  Nuda  Materia.) 
II.   The  Disposition.     [/.<?.,  Narrative  method.] 
III.  The  Ornaments  ;  of  which  the  "  most  important "  are  : 

A.   The   Style.  —  B.   The   Characters.  —  C.  The   Sentiments.  — 
D.  The  Descriptions. 

3.  Masson.     (Chapter  I.)     "  Points  for  criticism  in  a  novel." 

I.   The  Subject.     (Scheme,  idea,  total   meaning,  aim,  impression.) 
"  The  first  or  main  matter  of  interest  for  the  critic."     Compare 
Section  119  of  the  present  work. 
II.   Incident.     (Construction  ;   plot-interest.) 

III.  Description.     (Scenery.) 

IV.  Characters.     (By  which  "  a  novelist  is  chiefly  judged.") 
V.   Style,  and  other  "  obvious  matters." 

VI.  The  Extra-poetical  Contents. 

s\A 

'  4.   Hennequin.     (Appendix ;  applied  to  Victor  Hugo.)     Plan  for  a  com- 
plete study  of  "  Esthopsychologie." 

I.   Analyse  Esth  clique. 

A.  Les  Moyens. 

1.  Les  Moyens  Externes-. 

(a)  Vocabulaire.  —  (£)  Syntaxe.  —  (r)  Composition.  — 
(d)  Ton.  —  (<?)  Precedes  de  Description.  (Deslieux 
et  des  gens  ;  des  dmes ;  des  idees  abstraites.) 

2.  Les  Moyens  Internes.     (Sujets  preferes.) 

(#)  6poques.  —  (£)  Lieux.  —  (c)  Moments.  —  (</)  Person- 
nages  (exterieur,  interieur). —  (e)  Sujets  abstraits. 

B.  LesEffets.     (Synthese  des  Moyens.)     [Repetition  of  the  above 

analysis,  with  reference  to  the  effects.] 
II.   Analyse  Psychologique. 

A.  Les  Causes  (in  the  individual  author). 

1.  Hypothese  Explicative. 

2.  Faits  Expliques. 

B.  Interpretation  Physiologique. 
III.   Analyse  Sociologique. 

A.  Determination  des  categories  d'admirateurs. 

B.  Conclusions  des  livres  speciaux  aux  categories  speciales. 
IV.   Conclusions  generates.     Syntheses. 


SYSTEMATIC   ANALYSIS   OF  A   NOVEL  267 

5.  Crawshaw.     A  general  method  for  literary  types,  modified  for   the 
novel  j  with  detailed  subdivisions,  not  given  here. 

I.   Study  of  the  Form. 

A.  Structure. 

B.  Style. 

II.   Study  of  the  Substance. 

A.  Beauty  (and  the  unbeautiful)  in  characters,  plot,  etc. 

B.  Ideality  (including  the  "  main  ideal  conception,"  and  reality) 

in  characters,  plot,  settings,  etc. 

C.  Emotion. 

D.  Thought  (including  the  "central  thought"). 

6.  Maigron.     Without  definite  announcement  of  plan,  his  chief  technical 
analysis  is  :   I.  Le  Recit.  —  II.   Les  Personnages.  —  III.  La  Description. — 
IV.   Le  Dialogue. 

7.  Riemann.     (Analysis  with  reference  to  special  types  of  fiction,  or  to 
Goethe  individually,  is  here  omitted.) 

I.   Komposition. 

A.  Gliederung.     [I.e.,  "  External  structure."] 

B.  Einsatze. 

C.  [Intercalations.] 

1.  Eingeschobene  Icherzahlungen. 

2.  Eingeschobene  Briefe. 

D.  Lyrische  Einlagen.    (Citate  ;  rhythmische  Prosa ;  lyrische  Mo- 

nologe,  etc.) 
II.  Die  Mittel  der  Charakteristik. 

A.  Charaktergemalde  und  typische  Gegeniiberstellungen. 

B.  Das  Absinken  der  Charaktere. 

C.  Charakterentwicklung. 

D.  Physiognomik  und  Mimik.     (Much  subdivided.) 

8.  The  Present  Volume.    The  underlying  analysis  in  mind  is  as  follows :  — 

I.  The  Novel  Itself. 
A.   Form. 

I.   Structure. 
(a)  External. 
(3)  Combination  of  External  and  Internal  —  Consecutive 

Structure. 

(<r)    Internal.     (Organic.)  —  Plot ;   Settings  ;  Dramatis  Per- 
sonse ;   Characterization. 


268  APPENDIX 

2.   Style.     (Transitional  to  II.,  A,  I  and  2.) 
B.   Subject-Matter. 
II.    Relations  of  the  Novel. 

A.  Psychological  and  Social. 

1.  The  Process  of  Composition.     ("  Genetic  Analysis.") 

2.  The  Shaping  Forces.     ("  Dynamic  Analysis.") 

3.  The  Influence  of  the  Novel.     ("  Kinetic  Analysis.") 

B.  ^Esthetic. 

1.  Other  Types  of  Literature. 

2.  The  Individual  Arts  (other  than  literature). 

3.  Art  in  General. 

9.   Current  American  Criticism.    The  following  technical  analysis  may  be 
said  to  be  generally  recognized,  with  many  individual  variations  in  details :  — 

I.  Form.  —  A.  The  Characters. —  (B,  Characterization.)  —  C.  Plot. 
(General  analysis,  and  "  details  of  narrative  method.")  —  D.  Set- 
tings.— E.  Style. 

II.   Subject-Matter.     (With  emphasis  on  the  "  central  idea  "  ;  often  on 
"  purpose.") 


II.    GLOSSARY  AND   TOPICAL   REFERENCES 

AN  adequate  dictionary  of  literary  criticism  would  fill  several 
volumes,  and  would  require  the  labor  of  many  scholars  for  a 
series  of  years. 

The  aim  of  the  following  pages  is  to  distinguish  in  several  cases 
different  meanings  of  the  same  term ;  to  list  some  of  the  most 
precise  terms,  largely  found  in  German  criticism,  as  examples  of 
technical  analysis ;  and  to  give  references  for  the  study  of  a  few 
topics  of  special  importance.  Most  of  the  authorities  to  which 
reference  is  made  are  noted  in  the  Bibliography.  "Types  of 
Fiction  "  refers  to  the  list  in  this  Appendix. 

Most  of  the  terms  commonly  found  in  the  criticism  of  the  novel 
are  also  found  in  the  criticism  of  epic  and  drama.  Many  of  them 
belong  to  a  still  wider  field,  and  the  student  should  consult  not 
only  rhetorics  and  poetics,  but  general  aesthetics  and  the  dictionaries 
of  the  separate  arts. 

Allegorische  Mimik.  —  (Riemann.) 

Allegory. —  See  Symbolism. 

Amplification  — of  Plot;  —of  Theme. 

Animalism. — For  one  definition  see  The  Nation,  Number  1618.  Cf.  Natu- 
ralism. 

Anticipation. — Cf.  use  in  music. 

Anticipatory  —  Hint ;  —  Suspense.     (Hammond.) 

Art,  Absolute. — The  novel  is  rarely  so  considered.  See  general  aesthetics, 
dictionaries  of  music,  etc. 

1'Art  pour  1'Art. — For  application  to  the  novel,  see  Gilbert,  pp.  122, 
162  ;  Lanson,  p.  998  ;  Warren,  p.  220. 

Artist  (in  modern  French  sense).  —  See  Brunetiere,  R.  N.,  p.  162. 

Artistic. —  I.  Contrasted  with  scientific. — 2.  Referring  to  conscious  method 
in  the  writer.  —  3.  "The  word  artistic  as  applied  to  fiction,  denotes  a  structure 
that  produces  the  most  telling  effect  on  the  reader."  (Cody.) 

Author's  Comment.  —  Generalization  and  interpretation  rather  than  mere 

269 


2/0  APPENDIX 

description.     May  sometimes   be  limited  to  passages   in  propria  persona. 
See  Chorus. 

Autobiographical. —  I.  In  first-person  form. —  2.  With  reference  to  the 
author. 

Avoidance.  —  Might  be  used  as  in  musical  analysis. 

Background.  —  I.  Of  minor  characters,  incidents,  emotions,  etc. — 2.  The 
settings. — 3.  The  place  setting.  See  Scenery. 

Beleuchtungseffekt. —  (Riemann.) 

Besserungstheorie. — The  theory  that  a  hero  should  be  dismissed  in  the 
best  condition  possible  for  the  individual  plot.  (Riemann.) 

Cadence. — Artistic  approach  to  a  conclusion  ;  as,  chapter  cadence,  cadence 
of  episode,  etc.  —  Cf.  use  in  music  ;  versification. 

Caricature.  —  See  Baldwin;  Morillot;  Symonds. 

Catastrophe. —  i.  Incident  or  event  closing  the  dramatic  line  (preferable 
technical  usage).  —  2.  Plot-conclusion  marked  by  strong  effect.  See  Climax 
and  Conclusion. 

Catharsis,  Aristotelian. — For  a  review  of  recent  interpretations,  see 
Baldwin. 

Central — Character ;  —  Idea  ; — Incident ; — Theme  ; — Truth;  etc. 

Centrifugal — (Centripetal).  —  Mainly  with  reference  to  plot. 

Cervantine  Humor.  —  Compared  and  contrasted  with  Rabelaisian  Satire. 

Character  (a  type  of  literature).  —  See  Morley. 

Character,  Central. — Necessary  for  the  short  story,  not  for  the  novel. 
(Cody.)  But  cf.  p.  293  of  this  volume,  under  Smollett. 

Character  Compensation. — See  Hedging. 

Character — Disclosure  ; — Elucidation.     (  Hammond.) 

Character,  Dismissal  of. —  See  Riemann,  on  Absinken  der  Charaktere. 

Character  Function. — Value  as  social  type,  in  distinction  from  individual 
value.  (Maigron,  of  Scott.) 

Character,  Introduction  of. — Technical  definition  in  Davidson's  Creative 
Ait  of  Fiction.  See  also  Dunlop,  Bohn  edition,  I,  p.  32.  Cf.  Personen,  Ein- 
fuhrung  der. 

Character,  Isolation  of,  in  short  story.  —  (Barrett.) 

Characterization,  Center  of. —  (MacClintock.) 

Characters,  Interplay  of. —  (MacClintock.) 

Chorus,  Greek  Dramatic. — Compared  with  author's  comment.  See  Tom 
Jones,  III,  7 ;  preface  to  Sarah  Fielding's  The  Cry  ;  and  Worsfold.  Cf. 
Maigron  on  the  lyrical  choruses  in  Atala. 

Climax. —  i.   General  rhetorical  usage.  —  2.  The  center  of  the  dramatic 
line  (preferable  usage  in  technical  analysis).  —  3.  The  catastrophe.     (Gardi 
ner ;  and  many  critics  of  the  short  story.) 


GLOSSARY  AND   TOPICAL   REFERENCES  271 

Climax, — False  or  Technical ;  — Preliminary.     (Barrett.) 

Coincidence  (in  plot). 

Complication  of  Idea. — Governs  length  of  story.     (Cody.) 

Complication  of  Plot.  —  Contrasted  with  Resolution.  Cf.  also  Denoument; 
Entanglement. 

Composition. — For  use  in  the  sense  of  plastic  power  and  unity  in  the 
structure,  cf.  music  and  painting. 

Comprehensiveness.  — A  common  standard  of  judgment  for  the  novel.  See 
Totalitat. 

Conclusion.  —  Distinguished  from  Catastrophe.     (Barrett.) 

Conclusion,  Dramatic.  —  Equals  Catastrophe.     (Cody. ) 

Concreteness,  Canon  of.  —  (Gardiner.)     Cf.  Detaildarstellung.   Seep.  no. 

Convergence — of  Characters; — of  Narration  and  Action;  —  of  Single 
Actions. 

Conversation.  —  See  Dialogue. 

Counter-play.  —  i.  Of  Characters  (Simonds)  ;  cf.  Interplay. — 2.  In 
plot -analysis.  See  Play. 

Decoration.  —  See  p.  266,  Dunlop.    Cf.  Dekoration.     (Riemann.) 

Degeneration,  Social. —  See  Baldwin,  Nordau,  Robiati;  and  Taylor,  on 
Greek  romance. 

D6noflment.  (In  English  criticism.)  —  I.  The  catastrophe.  —  2.  The  entire 
fall  of  the  action.  Cf.  Resolution. 

Description.  —  Sometimes  about  equivalent  to  Scenery,  or  place  setting. 
For  philosophical  definition,  see  Baldwin.  —  "  Fiction  is  essentially  a  descriptive 
art."  (Cody.) 

Deus  ex  Machina.  —  See  Baldwin. 

Dialog, — Alternierend-explizierend ;  —  Alternierend-replizierend ;  —  Theo- 
retisierend  ;  contrasted  with  Rede  als  Ausdruck  des  Affekts.  (Riemann.) 

Dialogue  —  "is  a  description  of  conversation."     (Cody.) 

Dialogue, —  Characteristic ;  —  Descriptive  ;  —  Dramatic ;  —  Reflective ;  — 
Thematic. 

Didactic  Interpolation. 

Disentanglement. —  See  Denoument. 

Disposition.  —  See  p.  266,  Dunlop. 

Dramatic. —  i.  Objective,  contrasted  with  lyrical. — 2.  Intense,  striking,  in 
reference  to  action  or  feeling.  See  Types  of  Fiction. 

Dramatic  —  Effect ;  —  Form  ;  —  Irony  ;  —  Moment ; — Movement ; — Order 
of  Thought,  contrasted  with  Scenic  Order  (DeMille's  Rhetoric); — Probabil- 
ity;—  Situation. 

Dynamic  Criticism  (Analysis). — A  convenient  term  in  reference  to  thf 
forces  that  influence  a  novel.  Cf.  Genetic  ;  Kinetic. 


2/2  APPENDIX 

Effectism. — Author's  tendency  to  over-emphasize  single  effects. 

Effets,  les.  —  See  les  Moyens. 

Emotions,  Primary. — Contrasted  with  the  complex  emotions  of  civiliza- 
tion ;  common  in  the  naturalistic  novel.  See  Baldwin,  on  Fear. 

Entanglement.  —  Contrasted  with  Denodment. 

Environment,  —  Immediate;  —  Remote.  (Hammond.)  For  philosophical 
definition  see  Baldwin. 

Epic  (adj.). —  i.  Narrative.  —  2.  Comprehensive  and  objective  ;  contrasted 
with  lyrical. — 3.  Having  the  special  qualities  of  epic  poetry;  most  commonly 
applied  to  historical  romance. 

Epische  —  Darstellung  ;  —  Stoff ;  —  Totalitat ;  —  Weltauffassung ;  —  Ge- 
setz  der  epischen  Phantasie. 

Episode. —  I.  Of  an  entire  composition.  'The  novels  of  Henry  James  are 
all  episodes.' — 2.  Psychological  meaning;  see  Gardiner.  —  3.  A  centrifugal 
narrative  of  some  scope  and  marked  unity.  —  4.  See  Section  33.  See  also 
dictionaries  of  music. 

Episodes  parasites.  —  (Brunetiere.) 

Erkennungsscene. —  (Riemann.) 

Esthopsychologie.  —  Hennequin,  mainly  with  reference  to  the  effect  of 
art  :  it  might  also  refer  to  the  creative  process. 

Exciting  (Inciting)  Force.  —  (Erregende  Moment,  Freytag.)  — The  motiv- 
ating force  which  originates  the  plot-movement. 

Exposition.  —  I.  General  rhetorical  use.  —  2.  Explanation  of  action  not 
directly  given,  as  entr'acte  exposition. 

Expositions Monolog ;  —  Scene.     (  Riemann.) 

Fable,  The.  —  Often  in  eighteenth  century  criticism,  e.g.,  Fielding,  about 
equal  to  Plot.  (German  Fabel  is  still  so  used.) 

,      Fantasy,  Touch  of.  —  Especially  in  short  story.     See  Matthews'  Philos- 
ophy uf  the  Short  Story. 

Form.  —  Generally  equals  structure,  or  structure  and  style.  Compare  Bald- 
win, Bray,  Perry,  and  Riemann's  Dictionary  of  Music.  —  "  Der  Roman  ist  .  .  . 
zwar  cine  sehr  mangelhafte  Form,  aber  ein  bestimmter  und  selbstandiger  Aus- 
druck  eines  Stils."  (Vischer.) 

Form,  Geschichte  der.  —  Contrasted  with  Stoffgeschichte. 

Frame.  —  I.  General  structural  outline.  —  2.  The  environing  action  or  set- 
tings for  "  frame-stories,"  such  as  the  Decameron. 

Gedankcnkreis.  —  Of  the  speech  of  characters.     (Riemann.) 

Genetic  Criticism  (Analysis).  —  A  convenient  term  applicable  to  the  process 
of  composition  ;  or  to  the  development  of  the  novel  as  a  species.  Cf.  Dy- 
Mamic  ;  Kinetic. 

Gewohnheitsgesten.  —  (Riemann.) 


GLOSSARY  AND   TOPICAL   REFERENCES  273 

Gothic.  —  i.  Of  northern  Europe,  especially  in  the  middle  ages.  —  2.  Bar- 
barian ;  romantic,  as  opposed  to  classical.  Largely  a  term  of  reproach,  in 
eighteenth  century  criticism.  —  See  Bray;  Phelps;  Ruskin's  Stones  of  Venice. 

Gothic  Machinery.  —  See  Machinery. 

Grands  Genres,  les.  —  Especially  of  tragedy,  comedy  and  epic,  "  genres 
essentiellement  classiques,  appeles  pour  cette  raison  les  grands  genres." 
(Maigron.) — 'The  novel  became  a  grand  genre  early  in  the  nineteenth 
century.'  (Lanson.) 

Grenzen  des  Romans,  Die.  — The  comprehensiveness  and  amorphous  qual- 
ity of  the  novel  have  led  critics  to  special  effort  to  define  its  limits.  See,  for 
example,  Spielhagen's  Technik  des  Romans  ;  Das  Gebiet  des  Romans. 

Hedging.  —  In  characterization,  the  principle  of  compensation.  (Moulton.) 
This  term  might  be  applied  also  to  incidents  and  settings. 

I'HSroisme  sentimental.  —  (Lanson.) 

Humor. —  I.  A  quality  of  style.  See  Leigh  Hunt's  Wit  and  Humor. 
—  2.  Predominant  and  one-sided  tendency  of  character;  as  in  Novel  of 
Humors.  An  early  definition  in  Jonson's  dialogic  preface  to  Every  Man 
out  of  his  Humour.  Cf.  Riemann's  treatment  of  Steckenpferd  in  Tristram 
Shandy,  etc.  See  Traill. 

Hypernatural.  —  "  In  fiction  ...  a  character  must  be  exaggerated  to  ap- 
pear natural."  (Quoted  in  Barrett.) 

Ideal.  —  Baldwin  gives  six  meanings  for  the  term  as  used  in  aesthetic 
criticism.  See  also  Bray. 

Idealization,  Monochromatic. 

I-Form.     (Ich-Form.) — Contrasted  with  third-person  form.     (Er-form.) 

Impression.  —  "  The  novel  gives  a  personal  impression  of  life  ;  the  drama 
a  personal  demonstration  of  life."  (Lockwood  and  Emerson :  Composition 
and  Rhetoric.)  — "A  novel  is,  in  the  broadest  definition,  a  personal  impres- 
sion of  life."  (H.  James:  Art  of  Fiction.) 

Impression,  Unity  of.  — A  standard  of  excellence  in  the  short  story  rather 
than  the  novel.  (Matthews.) 

Impressionism.  —  See  Brunetiere's  R.  N.;  and  criticism  of  painting.  Bald- 
win gives  Sterne  as  an  example. 

Incident.  —  I.  See  Section  31. —  2.  The  "  event  which  supplies  the  motive 
for  the  action  of  the  scene."  (Simonds.)  — 3.  See  Moulton. 

Indirekte  Rede  —  als  Einleitung  der  direkten  ;  —  als  ordnendes  Prinzip. 
(Riemann.) 

Inference  (The  Reader's). —  Recognized  as  a  definite  principle  of  artistic 
effect.  See,  for  example,  Smith's  Writing  of  the  Short  Story. 

Interplay  of  Characters. — Cf.  Counter-play. 

Interweaving — of  single  actions  into  plot. 


274  APPENDIX 

Intrigue. —  I.  Of  plot,  as  complicated  design. — 2.  Of  character  relations, 
as  in  "  novel  of  intrigue." 

Invention.  Creative  power  in  the  artist  as  distinct  from  observation.  See 
Spielhagen's  Technik  der  Romans ;  Finder  oder  Erfinder.  —  Formerly  used  in 
a  rather  more  technical  sense  than  at  present. 

Irony.  —  Perhaps  a  special  characteristic  of  the  novel. —  I.  A  general 
quality  of  style. — 2.  Dramatic  Irony  (cf.  tragische  Ironii).  See  Moult  on. 
— 3.  Detached  attitude  of  the  author  in  reference  to  his  work.  (Fr.  Schlegel.) 

Isolated  Scenes. 

Kinetic  Criticism  (Analysis). — Referring  to  the  effect  of  a  novel.  Cf. 
Dynamic ;  Genetic. 

Laws  of  Fiction,  The. — Various  attempts  have  been  made  to  state  them. 
See  Section  129,  Spielhagen  on  das  Gesetz  der  Objektivitat ;  and  Novelistic 
Criticism,  Gottsched.  Also  the  discussion  in  Besant.  —  Maigron,  however, 
gives  an  interesting  explanation  of  the  novel  as  an  anarchistic  form,  craved  by 
the  romanticists,  *  who  hated  law  and  Boileau.'  (p.  152.) 

Leitmotiv.  —  See  criticism  of  Wagner.  Considered  by  Robiati,  in  refer- 
ence to  Fogazzaro. 

Life-size. —  Of  the  novel  as  compared  with  the  short  story.     (Cody.) 

Link  —  Action  ;  —  Personage .     ( M  oulton.) 

Local  Color. — "Couleur  locale"  used  by  Marchangy  early  in  the  nineteenth 
century.  (Maigron.) — For  application  to  ballet  music,  see  Krebhiel's  How 
to  Listen  to  Music. 

Lyrical. —  For  many  shades  of  meaning  see  poetics,  aesthetics,  etc.  "  Der 
Roman  ist  eine  sehr  universelle  Gattung,  und  daher  nach  einer  Seite  bin  auf 
dem  Punkte  ins  Lyrische  iiberzugehen."  (Solger.)  — "  Le  lyrisme  est  1' expres- 
sion du  moi,  et  le  roman  doit  e"tre  la  perception  du  non-moi."  (Lanson, 
P-  1055.) 

Lyrische  —  Einschaltungen  ;  —  Monologe.  (Riemann.)  Cf.  Browning's 
dramatic  monologue. 

Machinery. —  Refers  mainly  to  the  motivation,  especially  when  traditional, 
artificial,  or  obvious.  An  Aristotelian  term,  characteristic  of  eighteenth 
century  criticism,  but  used  by  Dunlop,  Scott,  Senior,  and  Raleigh. 

Manner. —  I.  Specific  method;  about  equivalent  to  style.  —  2.  See  Sec- 
tion 152.  —  3.  German  Manier  is  about  equivalent  to  Mannerism. 

Mannerism. — Two  meanings  are  discussed  at  some  length  in  Senior,  p.  97  ffi 

Materia  Nuda. — (Dunlop.) 

Medias  Res,  in.  —  In  the  novel,  probably  often  imitated  from  the  epic. 

Milieu  Int6rieur. —  (Brunetiere:  R.  N.,  p.  206.) 

Mimik. —  Defined  and  considered  at  length  in  Riemann. 

Mistaken  Identity.— As  a  type  of  plot. 


GLOSSARY   AND   TOPICAL   REFERENCES  275 

Monolog,  —  Expositions- ;  —  gedachter ;  —  gesprochener ;  —  Klammer-; — 
Reflexions-.  (Riemann.) 

Moral. —  See  p.  265,  Fielding. 

Morphology  of  the  Novel. 

Motives  (in  characters), —  Conflict  of;  —  Ruling. 

Moyens,  les. —  See  p.  266,  Hennequin. 

Narrative  Problem,  The. —  (Gardiner,  p.  107.) 

Naturalism. —  I.  Sometimes  about  equivalent  to  Realism,  as  opposed  to 
Idealism  and  Romanticism.  —  2.  Extreme,  usually  pessimistic  or  debased, 
realism.  —  3.  Interpretation  of  human  phenomena  in  biological  terms.  Cf. 
Animalism. —  Distinguished  from  Realism  in  Baldwin.  See  Brandes  ;  Bru- 
netiere  ;  Guyau  ;  Pardo  Bazan  ;  Volkelt ;  Zola. 

Naturism.  —  A  term  invented  to  denote  the  better  elements  in  naturalism; 
but  not  in  general  use. 

Nemesis. —  See  Baldwin,  and  Moulton. 

Novel.  —  The  following  are  probably  the  most  important  shades  of  meaning 
found  in  English  criticism.  —  I.  Any  type  of  prose  fiction;  e.g.,  as  translation  of 
novella  (Elizabethan  criticism).  —  2.  A  long  fiction,  contrasted  with  short 
story.  Cf.  French  and  German  Ionian.  —  3.  Contrasted  with  Romance. 
This  distinction  was  probably  implied  in  Elizabethan  criticism,  was  clearly 
stated  by  Congreve,  in  1692  (see  Raleigh,  p.  101),  and  by  many  eighteenth 
century  writers;  but  is  not  always  observed  even  now.  —  4.  The  mature  "  mod- 
ern novel,"  i.e.,  that  since  Richardson.  "  With  due  respect  to  the  writers  of 
fiction  from  the  sixteenth  century  down  to  Defoe  and  Marivaux,  it  was  in  the 
year  1740  that  the  European  novel,  as  we  understand  it,  began  to  exist." 
(Gosse :  Modern  English  Literature,  p.  240.)  —  5.  The  realistic  novel  of  con- 
temporary life.  —  6.  Special  historical  usage,  an  example  of  which  is  given  in 
Cross,  p.  21. 

A  few  suggestive  attempts  at  concise  definition  may  be  quoted :  — 

"A  fictitious  narrative,  differing  from  the  romance,  because  the  events  are 
accommodated  to  the  ordinary  train  of  human  events,  and  the  modern  state 
of  society."  (Scott :  Essay  on  Romance.) 

"  Le  recit  developpe  d'une  action  vraie  ou  imaginaire,  historique  ou  non,  ou 
les  evenements  marchent  avec  ordre  vers  un  but  determine,  et  ou  les  carac- 
t£res,  bien  que  vivants  et  naturels  et  quoique  plus  voisins  de  la  realite  que  dans 
tout  autre  genre  de  poesie,  sont  agrandis  neanmoins  par  l'ide"al  et  par  le 
style."  (Leveque.) 

"  The  modern  novel  is  a  drama  ;  description  holds  the  place  of  scenery  ; 
narration  gives  a  clue  to  the  mise-en-scene  ;  but  it  is  the  talk  which  consti- 
tutes the  main  substance  and  texture  of  the  work."  (Edmond  Scheref 
Assays  on  English  Literature ;  translated  by  Saintsbury.) 


2?6  APPENDIX 

"A  novel  is  a  fictitious  story  of  some  complexity  of  plot,  purporting  to 
be  modeled  after  real  life,  and  portraying  the  working  of  some  great 
passion,  often  that  of  love."  (Lockwood  and  Emerson:  Composition  and 
Rhetoric.) 

Cf.  Roman,  novella,  etc.     See  Romance. 

Ornaments.  —  See  p.  266,  Dunlop. 

Parabasis.  —  Parabatische  —  Einsatz  ;  —  Schlusswendung.     (Riemann.) 

Parallelgeschichte.  —  (Riemann.) 

Pause  (in  the  plot-movement).  t 

Personen,  Einf iihrung  fler,  —  dramatische; — durch  die  Gruppe; — durch 
Erwahnung.  (Riemann.)  Cf.  Character,  Introduction  of. 

Picaresque. —  I.  Strictly,  of  the  "rogue  novel."  —  2.  Broadly,  having  the 
general  characteristics  of  that  type  —  loose,  episodic  plot,  variety  of  adven- 
ture, etc. 

Play.  —  In  the  analysis  of  plot,  the  aggressive  activity  of  the  hero;  opposed 
to  Counter-play,  in  which  he  is  acted  upon.  (Freytag.) 

Plot.  —  i.  The  unified  plan  of  the  action. —  2.  The  unified  plan  of  the 
entire  composition.  —  3.  Of  a  specially  intricate  action. — 4.  In  a  hostile  sense, 
in  reference  to  the  artificial  or  sensational  element. 

Plot  —  Amplification  (Hammond); — Architecture  (Raleigh);  —  Business 
(Baker) ;  —  Germ ;  —  Scene ;  etc. 

Plot,  —  By-  (Raleigh)  ;  —  Multiple  (Hammond)  ;  —  Separable  ;  —  True; 
—  Working  (Barrett). 

Poetik.  —  Generally  includes  imaginative  prose,  therefore  the  novel;  as 
contrasted  with  English  poetics.  Cf.  Prosaics. 

Probability,  Dramatic. 

Prosaics.  —  (Gayley  and  Scott,  p.  245.) 

Psychologist's  Fallacy.  —  Common  in  the  novel.  See  Baldwin,  and  W. 
James. 

Purpose.  —  Frequently  used  as  a  semi-technical  term  in  analysis. 

Rabelaisian  Satire.  —  See  Cervantine  Humor. 

Rationalization  ;  —  Derationalization.  —  See  Moulton. 

Realism.  —  Commonly  contrasted  with  Romanticism  ;  but  they  have  much 
in  common,  especially  as  compared  with  Classicism.  A  term  discussed  in 
nearly  every  recent  criticism  of  the  novel.  For  wider  meanings  see  aesthetics, 
poetics,  etc. —  See  Naturalism  ;  Veritism. 

Realism,  Higher. 

RSalisme  sentimental.  —  (Brunetiere,  R.  N.) 

Relief  Scene  ;  —  in  Relief. 

Reminiscence  (narrative).  —  Cf.  dictionaries  of  music. 

Reminiscence  (psychological). —  See  Brunetiere,  R.  N.,  p.  174. 


GLOSSARY   AND   TOPICAL    REFERENCES  277 

Resolution  (of  plot).  —  See  Denoument. —  Further  Resolution.  See 
Moulton. 

Reticence.  —  Is  characteristic  of  artistic  fiction.     (Besant.) 

Romance. —  I.  In  general  sense.  Distinguished,  as  natural  and  permanent, 
from  Romanticism,  as  artificial  and  temporary,  in  Matthews'  Historical  Novel.  — 
2.  Contrasted  with  novel.  Congreve's  definition  is  given  in  Raleigh,  p.  101. 
A  famous  definition  is  found  in  Johnson's  Dictionary ;  a  very  suggestive  one 
in  the  preface  to  The  House  of  the  Seven  Gables.  See  Novel. 

Romantic. —  See  Bray,  Baldwin,  Phelps;  dictionaries  of  music  and  other 
arts. —  Four  shades  of  meaning  are  given  in  Stoddard,  p.  124. —  Cf.  definitions 
in  eighteenth  century  criticism. 

Romanticism. —  I.  General  aesthetic  meaning. —  2.  Historical  meaning, 
referring  to  the  romantic  school,  which  is  characterized  in  all  histories  of  fic- 
tion covering  the  period.  Gilbert  gives  as  a  summary  of  the  school  in  French 
fiction :  sensibility,  personality,  lyricism,  and  pessimism  (p.  117;  cf.  pp.  75, 76). 
See  Brunetiere  ;  Haym  ;  Maigron. 

Ruhige  Darstellung.  —  As  an  ideal  for  the  novel.     (Jeitteles  ;  Ludwig.) 

Scenery. —  I.  In  dramaturgic  sense,  of  material  background. —  2.  "  All  the 
peculiarity,  material  and  moral,  which  gives  a  general  character  to  the  events  "  ; 
Greek  chorus  included.  (Senior,  p.  190.) 

Scene,  The.  —  General  place  setting. 

ScSne,  en,  —  'Everything  in  Scott  is.'     (Maigron.) 

Scenes, — Isolated ; — Plot. 

Scenes  a  faire.  —  In  the  drama.  (Francisque  Sarcey  ;  explained  in  Mat- 
thews' Development  of  the  Drama,  p.  24  and/otftm.) 

Scenic — Characters  (contrasted  with  Individual,  Senior,  p.  191); — Order 
of  Thought.  See  Dramatic  Order  of  Thought. 

Sensitivists,  the  contemporary  Dutch.  —  See  Gosse's  introduction  to 
English  translation  of  Couperus'  Eline  Vere,  N.Y.,  1892. 

Sentimental  School.  —  See  Novelistic  Criticism  :  Clara  Reeve  ;  Coleridge  ; 
and  Karamzin.  (Pp.  292,  296,  300).  School  of  "  Sensibility." 

Sentiments.  —  In  analysis,  the  general  ideas  expressed  in  a  novel.  See 
p.  265,  Fielding. 

Short  Story. —  For  theory  and  technic  see  especially  Barrett,  Canby,  Cody, 
Heyse,  Matthews,  Nettleton,  Perry,  L.  W.  Smith,  and  Spielhagen's  essays, 
Novelle  oder  Roman,  and  Roman  oder  Novelle. 

Silhouette,  en. —  (Lanson,  of  the  characters  in  Notre  Dame  de  Paris.) 

Simplicity  (in  ^Esthetics). —  See  Baldwin. 

Simplification,  Artificial.  —  (Gardiner.) 

Situation. —  I.  The  dramatic  element  in  a  scene. —  2.  Circumstances  at  the 
beginning  of  plot.  (Simonds.)  —  3.  See  Section  30. 


2?8  APPENDIX 

Solidity  — of  Life  (Gardiner)  ;  —  of  Specification.     See  Vraisemblance. 
v  Solution  (of  plot).  —  Cf.  Denoument; — Catastrophe. 

Soul  of  the  Story.— (Cody.) 

Story. —  i.  A  novel  as  a  whole.  See  Types  of  Fiction. —  2.  That  ele- 
ment in  a  novel  which  satisfies  story  interest.  —  3.  See  Section  45. — 4.  The 
entire  body  of  artistic  (especially  fictitious)  narrative  in  the  world. 

Stummes  Spiel. — At  the  close  of  a  novel.     (Riemann.) 
^  Suspense,  Final. —  Located  just  before  the  final  resolution.     Common  in 
well-constructed  plots.  —  SeeFreytag;   Moulton  ;  Perry. 

Symbolism. —  i.  General  aesthetic  meaning.  Sometimes  distinguished 
from  Allegory  ;  the  former  having  more  value  in  the  concrete  imagery,  the 
latter  in  the  abstract  ideas.  See  Baldwin. —  2.  Of  a  contemporary  school  in 
poetry  and  fiction.  See  Brunetiere. 

Theme,  —  Abstract  ;  —  Central ;  —  Concrete  ;  —  Main;  —  Sub-.  —  (Cf. 
dictionaries  of  music.) 

Thematic — Character ; — Dialogue  ; — Incident ;  etc.  Having  more  value 
as  subject-matter  than  as  serving  the  illusion. 

Topographischer  Einsatz.  —  (Riemann.) 

Totalitat,  —  Epische,  as  canon  of  the  novel  (Spielhagen  and  other  critics) ; 

—  des  Weltbildes  ;  —  False  and  True  distinguished  (Riemann,  p.  324).  —  Cf. 
Comprehensiveness. 

Tragic  Moment. — A  sudden,  unexpected,  but  completely  motived  turn  in 
events,  soon  after  the  climax,  at  which  the  fall  of  the  action  really."  begins. 
(Freytag.) 

Transparency,  Device  of. —  See  Matthews'  Historical  Novel,  p.  157  ff. 

Truth.  —  Often  distinguished  from  fact.     See  Baldwin.     Cf.  Veritism. 

Type  (in  Art). —  See  Baldwin,  Perry,  Senior,  p.  289,  and  Veion. 

Type  achev6  du  Genre.  —  None  exists  for  the  novel,  as  the  Iliad  does 
for  the  epic.  (Le"veque.) 

Veritism. —  Fidelity  to  truth  rather  than  fact.  A  term  suggested  by  the 
hostile  critical  attitude  toward  "realism."  See  Rod,  Etudes  sur  le  XIX8 
Siecle,  Les  Veristes  Italiens;  and  Garland. 

Verkleidungsscene. —  (Riemann.) 

Vraisemblance.  — "  II  faut  que  dans  les  Romans  bien  faits  la  vraisemblance 
soil  partout  et  soit  mSme  partout  maftresse."  (Mad.  de  Scudery :  Clelie,  1661.) 

—  "The  air  of  reality  (solidity  of  specification)  seems  to  me  the  supreme 
virtue  of  a  novel."     (H.  James :  Art  of  Fiction.) 

Zimmeryerwechslungsmotiy . — (Riemann.) 


III.   TYPES  OF   PROSE   FICTION 

No  attempt  has  been  made  in  this  volume  to  consider  the 
difficult  problem  of  classification.  In  his  once  famous  Rhetoric 
(1783),  Blair  affirmed  that  literary  species  '  shade  into  one  another 
like  the  colors  of  nature.'  The  following  list  will  indicate  that 
certain  novelistic  types  are  well-established  in  European  criticism, 
and  that  many  others,  of  various  degrees  of  historical  and  tech- 
nical isolation,  are  distinguished  by  individual  critics.  While  the 
list  is  far  from  complete,  it  is  sufficient  to  show  the  variety  of 
bases  on  which  classification  or  description  is  attempted.  With 
very  few  exceptions,  the  terms  have  been  taken  from  critics  of 
some  note,  but  authority  has  been  quoted  only  in  a  few  cases,  for 
special  reasons. 

The  student  of  comparative  literature  may,  perhaps,  be  inter- 
ested in  comparing  the  general  tone  of  several  national  schools 
of  criticism  —  in  examining  the  contrast,  for  example,  between 
the  accurate  but  cumbersome  German  terminology  and  the  less 
technical  but  more  lucid  manner  of  the  French  critics.  The 
student  of  comparative  aesthetics  will  find  some  of  the  broader 
terms,  or  similar  ones,  in  dictionaries  of  music  and  painting. 
Many  are  borrowed  from  dramatic  criticism,  and  others  were 
originally  found  in  the  field  of  the  epic. 

The  following  abbreviations  are  used :  "  N  ",  for  novel;  "  R  ",  for  romance, 
roman  and  romanzo ;  "T.  T."f  for  type-title  (see  Section  5).  The  figures 
after  the  terms  are  for  cross-reference,  and  suggest  a  much  more  elaborate 
study  of  shading,  contrast,  and  systematic  arrangement. 

ENGLISH 


x.   Action,  N.  of.    13,  66,  151. 

2.  Adventure,  N.   of;    R.  of.  —  Adven- 

tures.    (T.  T.) 

3.  Allegorical  —  N.;  —  R.    217. 


4.  Amatory  Narrative.     (Dunlop.) 

5.  Analytic  (Analytical)  N. 

6.  Annals.     (T.  T.) 

7.  Antiquarian  R.     (Baker.) 


279 


280 


APPENDIX 


8.  Archaeological  N. 

9.  Art    and    Culture    N.     (Masson) ; 

Art-R.  (Carlyle,  of  Heinrich  von 
Ofterdingen.)  277. 

10.  Autobiographical  —  N  ;  —  R.    68. 

11.  Biographical  N. 

12.  Burlesque  —  Fantasy ;  —  Picaroon. 

(Baker.) 

13.  Character,  —  and  Passion,  —  N.  of; 

Character  Study.     I,  101,  107. 

14.  Chivalry,  R.  of.    92. 

15.  Chronicles.   (T.  T.) 

16.  Civilian  R.     (Dunlop.) 

17.  Classical  Heroic  R.     55. 

18.  Comedy,  —  of  Accidents;  —  Domes- 

tic ;  —  Love  ;  —  Low  ;  —  of  Man- 
ners ;  —  in  Narrative  ;  —  Poetic ; 
—  Psychological;  —  Social.  (Most 
of  these,  and  other  similar  terms, 
in  Baker.) 

19.  Comic  —  Epic ;  — N ;  — R. 

20.  Cosmopolitan  N.    70. 

21.  Crime,  N.  of;  Criminal  N.    98. 

22.  Descriptive  N. 

23.  Detective  Story. 

24.  Dialect  Story. 

25.  Dialogue,      N.      in  ;       Dialogues. 

(T.  T.) 

26.  Didactic  N. 

27.  Discursive  N. 

28.  Doctrinal  (Doctrinaire)  N. 

29.  Domestic — Comedy ;  — N  ;  —Satire, 

N.  of. 

30.  Drama,  —  Complete ;  —  Psychologi- 

cal ;  —  Tragic. 

31.  Dramatic  —  Effect,     Story     of  ;  — 

Form,  Story  of  (Barrett)  ;  —  Nar- 
rative ; — Sketch  ; — Story ;  —  Tale. 

295- 

32.  Eastern  Tale.     (Goldsmith.)    95. 

33.  Eclogue. 

34.  Elevated    Fiction.       (Senior,    con- 

trasted with  Familiar.) 

35.  Epic,  —  Comic;  —  Pastoral;  —  Prose. 

36.  Episodes.    (T.  T.) 

37.  Epistolary—  N;  —  R. 

38.  Epoch,  N.  of  an.     341. 

39.  Erotic  Adventure,  N.  of  (Warren, 

of  Greek  Romances) ;  Lyrico- 
Erotic  N. 


40.  Ethical  N. 

41.  Extravaganza  (Extravagance). 

(Baker.) 

42.  Fables.    (T.  T.) 

43.  Fairy  —  R ;  —  Tale ;  —  Story. 

44.  Familiar — N;  —  Fiction.      (Senior, 

contrasted  with  Elevated.) 

45.  Family  R. 

46.  Fancy,  N.  of.     (Tuckerman.) 

47.  Fantastic  Tale  (Barrett)  ;  Fantasy. 

48.  Fashionable  — N;— Tale.    284. 

49.  Folk-Story. 

50.  Genre  Picture.     (Baker.) 

51.  Ghost  Story. 

52.  Gothic  R ;  —  of  Mystery  and  Terror. 

80,  139. 

53.  Grotesque  and  Arabesque,  Tales  of 

the  (Poe). 

54.  Hero,  N.    without  a  (Thackeray) . 

55.  Heroic  R.    17. 

56.  Historical  —  N;  — R;—  Tale;—  N., 

True ;  —  Background,  N.  with. 
(Matthews  distinguishes  the  last 
two.) 

57.  Historico-Political  N.  (Fitzmaurice- 

Kelly.) 

58.  History  of.   (T.T.)   (See  Section  5.) 

59.  Horror,  Study  in.     (Barrett.)  319. 

60.  Humanitarian  N.     (Cross,  of  Oroo- 

noko.)     102,  190. 

61.  Humorous  —  N  ;  —  Story. 

62.  Humors,  N.  of.     (Trail!,  contrasted 

with  N.  of  Manners.) 

63.  Idyll,  —Prose;  —Rural;  —Senti- 

mental. 

64.  I  m  agin  ative  —  R ;  —  Tale . 

65.  Impressionistic   N. 

66.  Incident,  —  and  Action, —  N.    of.  I. 

67.  Ingenuity,   Story  of.       (Barrett,  as 

type  of  Short  Story.) 

68.  I-Novel.     10. 

69.  Intellectual  N.      (Bulwer   Lytton.) 

183. 

70.  International  N.     (Cross;  "created 

by  Maria  Edgeworth.")     20,  144. 

71.  Intrigue  and  Gallantry,  R.  of.     (W. 

Hazlitt.)     160, 348. 

72.  Key,  N.  with  a. 

73.  Knavery,  R.  of.     104,  119,  320. 

74.  Letters,  N.  of. 


TYPES   OF   PROSE    FICTION 


281 


75.  Life  — of;— and    Adventures  of. 

(T.  T.) 

76.  Life,  —  and      Manners,  —  N.      of 

("  typical  form  of  prose  fiction  ")  ; 

—  and  Passion,  N.  of.    96. 

77.  Local  —  Fiction ;   —  N ;  —  Short 

Story ;  —  History. 

78.  Love — Comedy; — Drama; — Idyll; 

—  N  ;—  Pamphlet  (eg.,  Greene) ; 

—  R ;  —  Story ;  —  Tale. 

79.  Manners,  —  Comedy  of;  —  N.  of. 

80.  Marvel  and  Mystery,  R.  of.     52. 

81.  Melodrama;       Melodramatic      R. 

(Baker.) 

82.  Memoirs.    (T.  T.) 

83.  Metaphysical  N.    103. 

84.  Military  N. 

85.  Mock  R.    (including  Comic ;  Hu- 

morous ;  Satirical ;  T.  Arnold)  ; 
Mock-heroic  R.  (e.g.,  Hallam). 

86.  Modern   Life  and   Society,  N.  of. 

(Traill.)     285. 

87.  Moral  —  Story ;  —  Story  with  a. 

88.  Mystery,  —  N.  of ;  —  R.  of. 

89.  Narrative.     (T.  T.) 

90.  Naturalistic  N. 

91.  Nautical  R;  Naval  N.     (Masson.) 

92.  Necromancy  and  Chivalry,  R.  of. 

(W.  Hazlitt.)     14,  340. 

93.  Novel. 

94.  Novelette. 

95.  Oriental  —  History     (Goldsmith) ; 

—  N;  — R.     32. 

96.  Passion,  N.  of.    76. 

97.  Pastoral  —  Comedy  ;  —  Epic ;  — 

Idyll;  —  N;  — R. 

98.  Pathological  N.    21. 

99.  Peasant  Tale. 

ico.    Pedagogic  R.     (Cross.) 

101.  Personality,    N.    of.      (Stoddard.) 

13- 

102.  Philanthropical  N.    60,  190. 

103.  Philosophical  —  Fable ;  —  N  ;  —  R. 

83- 

104.  Picaresque  —  N  ;  —  R ;     Picaroon 

N.    73- 

105.  Picturesque  N.     (Bulwer  Lytton.) 

106.  Pictures.    (T.  T.) 

107.  Plot-Novel  ;      N.    of     Plot.      13, 

330. 


108.  Poetical  R;  Poetic  Comedy. 

109.  Political  N. 
no.    Popular  Tale, 
in.  Problem  N. 

112.  Propagandist  N.     (Baker.)     130. 

113.  Prose  —  Epic;  —  Poem  (e.g*>  Dow- 

den,  of  Atala)  ;  —  R.     (Dunlop, 
Scott,  etc.) 

114.  Psychological — Comedy; — Drama; 

—  N;— R. 

115.  Purpose,  N.  of. 

116.  Realistic  N. 

117.  Religious  —  N  ;  —  R. 

118.  Revolutionary  N.     (Masson.) 

119.  Rogue  N  ;  R.  of  Roguery.    73. 

120.  Romance. 

121.  Romantic  Love,  R.  of.     (Lewis.) 

122.  Satirical  —  Fiction ;  —  N. 

123.  Scenes  (T.T.)  ;  Fiction  of  Scenery. 

(Senior.) 

124.  Scientific     Experiment,    Tale    of. 

(MacClintock)  ;  Scientific  N. 

125.  Sensation  N.     (Baker.) 

126.  Sentimental  N. 

127.  Serious  R.     (Scott.) 

128.  Short  —  N; — Story;    Long  Short- 

Story  ;  Storiette. 

129.  Sketches.     (T.T.) 

130.  Socialist  N.     112,  289. 

131.  Social  —  Comedy ;  —  N  ;  —  R ;  — 

Study;  Society  N. 

132.  Spiritual  R.     (Hallam;  Scott,  con- 

trasted with  Temporal  R.) 

133.  Sporting  N. 

134.  Story.     (Common  in  titles.) 

135.  Study.     (As  a  type  of  short  story, 

frequently.) 

136.  Supernatural     Phantasy,     N.    of. 

(Masson.) 

137.  Tale. 

138.  Temporal    R.     (Scott,   contrasted 

with  Spiritual  R.) 

139.  Terror,  Gothic  Tale  of.    52. 

140.  Theological  N. 

141.  Third-Person  N. 

142.  Tragic  —  Drama ;  —  N  ;  —  Pastoral ; 

Tragi-Comedy. 

143.  Traveller's  N.     (Masson.) 

144.  Ubiquitous  N.     (Walter  Bagehot.) 

70. 


282 


APPENDIX 


145 .  Utopian — N  ;  —  R . 

146.  Vision. 

147.  Volume  N,  —  Single ;  — Three. 


148.  Weird  Story.     (Barrett.) 

149.  Wonder,  Story  of.     (Barrett.) 

150.  Yarn. 


FRENCH 


151.  Active,  R.  de  la  Vie.    (Jusserand.) 

i. 

152.  Amour,  R.  d'. 

153.  Analytique,    R;     R.    d* Analyse— 

intellectuelle ;  —  morale. 

154.  Arcadien,  R.     (Jusserand.)     200. 

155.  Archeologique,    R.      (Lanson,   of 

Salammbd.) 

156.  Autobiographique,  R. 

157.  Aventure, —  Conte    d';  —  R.    d'; 

Aventures.     (T.  T.) 

158.  Bourgeois,  R. 

159.  Burlesque,  R. 

160.  Cape  et  d'Epee,  R.  de.    71. 

161.  Champe'tre,  R. 

162.  Chevaleresque,  R. 

163.  Chretien,  honnSte  et  familier,  R. 

(Gilbert.) 

164.  Clef,  R.  a. 

165.  Coeur,  R.  de. 

166.  Comique,  R. 

167.  Conte. 

168.  Devot,  Conte. 

169.  Epique,  R.  (Maigron;  Jusserand)  ; 

Epopee-roman  (Jusserand). 

170.  Exotique,  R.     (Gilbert.)     334. 

171.  Experimental,  R.     (Zola.) 

172.  Fabliau. 

173.  Famille,  R.  de. 

174.  Fantaisiste,  R. 

175.  Fees,  Conte  de. 

176.  Feuilleton,  R. 

177.  Gothique,  R. 

178.  HeroTque,  R. 

179.  Historique,  R;  Histoire.   (T.  T.) 

180.  Humoristique,  R. 

181.  Idylle. 

182.  Impressioniste,  R. 

183.  Intellectuelle,  R.  d'Analyse.    69. 

184.  Intrigue,  R.  d'. 

185.  Lettres,  R.  par. 

186.  Longue  Haleine,  R.  a  (of  Heroic 

Romance) 


187.  Lyrique,  R.     (Lanson,  of  George 

Sand.) 

188.  Memoires.     (T.  T.) 

189.  Militaires,  R.  de  Mceurs. 

190.  Misanthropique,  R.  (of  Flaubert). 

102. 

191.  Moeurs,  R.  de. 

192.  Mondain,  R. 

193.  Morale,  R.  d'Analyse. 

194.  Nationaux,  R's.     (Erckmann-Cha- 

trian.) 

195.  Naturaliste,  R. 

196.  Nocturne,    Conte    (title    used    by 

Hoffman). 

197.  Nouvelle. 

198.  Oriental,  R. 

199.  Pastel. 

200.  Pastoral,  R.     154. 

201.  Personnel, — impersonnel,  R6cit. 

202.  Philosophique,  R. 

203.  Picaresque,  R. 

204.  Plaisant,  Conte. 

205.  Poetique,  R.     (Lanson.) 

206.  Politique,  R. 

207.  Psychologique,  R. 

208.  Realiste,  R. 

209.  Roman. 

210.  Romantique,  R. 

211.  Rustique,  R. 

212.  Satirique,  R. 

213.  Scenes.     (T.  T.) 

214.  Scientifique,  R. 

215.  Sentimental,  —  et    personnel,    R. 

(Lanson ;  Gilbert)  ;  R.  d'Analyse 
des  Sentiments.     (Jusserand.) 

216.  Social,  R. 

217.  Symboliste    et    occulte,   R.     (Gil- 

bert.)    3. 

218.  Tendance,  R.  a. 

219.  Tiroirs,  R.  a. 

220.  Utopiste,  R. 

221.  Voyage  Imaginaire.    297. 

222.  Voyage,  R.  de. 


TYPES   OF  PROSE  FICTION 


283 


GERMAN 


223.  Abenteuer ; — roman  ; —  und  trans- 

oceanischer  R. 

224.  Allegorischer  R. 

225.  Anekdotenroman. 

226.  Aristokratischer    R.        (Vischer.) 

227.  Autobiographischer  R.    265,  323. 

228.  Backfischroman. 

229.  Bauern  —  novelle ;  —  roman. 

230.  Bettlerroman. 

231.  Bildungsroman.    276. 

232.  Briefroman ;  R.  in  Brief  en. 

233.  Biirgerlicher  R. 

234.  Burlesker  R. 

235.  Charakterroman. 

236.  Dialogroman.     (Riemann.) 

237.  Didaktischer  R. 

238.  Dorfgeschichte. 

239.  Eklektischer  R.     (Jeitteles.) 

240.  Emanzipationsroman.    309. 

241.  Ernster   R.     (Vischer,  Aesthetik; 

Jeitteles.) 

242.  Erotischer  R. 

243.  Er-Roman. 

244.  Erzahlung. 

245.  Ethnographischer  R. 

246.  Familienroman. 

247.  Feengeschichte. 

248.  Feuilletonistischer  R.    342. 

249.  Frauenroman.     (Mielke.) 

250.  Gedicht-geschichte.       (Birken,    in 

1679.) 

251.  Geisterroman. 

252.  Geistlicher  R. 

253.  Geographischer  R. 

254.  Geschichtlicher  R. 

255.  Gesellschaftsroman.  (Mielke.)  327. 

256.  Gespensternovelle. 

257.  Heldenroman. 

258.  Heroisch-galanter  R. 

259.  Herzgeschichte.     (Spielhagen.) 

260.  Hintertreppenroman. 

261.  Hirtenroman. 

262.  Historischer    R;    halbhistorischer 

R. 

263.  Humanistischer  R. 

264.  Humoristischer  R, 


265.  Ich  —  Erzahlung;  —  R;  —  Brief- 

roman.     (Riemann.)     227. 

266.  Idealroman.     (Korting.) 

267.  Idylle;  Idyllischer  R.     (W.  Sche- 

rer.) 

268.  Judenroman. 

269.  Jugendroman. 

270.  Kinder-  und  Hausmarchen. 

271.  Kolportageroman. 

272.  Komischer  R. 

273.  Komodiantenroman.       (Riemann, 

of  Roman  Comique.) 

274.  Kosmopolitischer  R. 

275.  Kriminal  —  geschichte ;  —  roman ; 

—  anthropologischer  R. 

276.  Kultur  —  roman ;  —  geschichtliche 

Novelle.    231. 

277.  Kunstroman ;  Kunstlerroman.    9. 

278.  Landschaftsroman.     (Mielke.) 

279.  Legende. 

280.  Leidenschaftsroman.     (Riemann.) 

281.  Liebes — roman; — historic.    (Jeit- 

teles.) 

282.  Liigenroman. 

283.  Marchen. 

284.  Mode-Roman.     (A.  W.  von  Schle- 

gel,  1798.)     48. 

285.  Moderner  R.     (Spielhagen,  in  defi- 

nite sense,  contrasted  with  his- 
torical novel.)     86. 

286.  Moralischer  R. 

287.  Musikernovelle. 

288.  Naturalistischer  R. 

289.  Nihilistischer  R.    130. 

290.  Novelle;  Novelette. 

291.  Objektive  Erzahlung.  (Spielhagen.) 

292.  Opposition,  R.  der.     (Korting.) 

293.  Orientalischer  R. 

294.  Padagogischer  R. 

295.  Pantomimischer   R.      (Riemann.) 

296.  Pastoralroman ;          Antipastorale. 

(Korting,    of    Berger    Extrava- 
gant.)    318. 

297.  Phantastischer —  R ; —  Reiseroman. 

(Korting.)     221. 


284 


APPENDIX 


298.  Philosophischer  R.  320. 

299.  Politischer  R.     329.  321. 

300.  Pornographischer  R.  322. 

301.  Prohlemroman,  —    moralphiloso-  323. 

phischer. 

302.  Professorenroman.  324. 

303.  Psychologischer — R;  —  Situations-  325. 

roman. 

304.  Rahmenerzahlung.  326. 

305.  Rauberroman. 

306.  Realistischer  R ;  Realroman.  (Kor- 

ting.)  327. 

307.  Reise  —  fabulistik      (Rohde)  ;  ~  328. 

feuilleton ;  —  roman.  329. 

308.  Religioser  R.  330. 

309.  Revolution,     R.     der.      (Mielke.)  331. 

240.  332. 

310.  Ritter — geschichte; — roman; —  333. 

und  Rauberroman.  334. 

311.  Robinsonade. 

312.  Roman.  335. 

313.  Romanskizze.     (Spielhagen.)  336. 

314.  Romantische  Novelle.  337. 

315.  Romerroman.     (Mielke.)  338. 

316.  Sagen — geschichte; — und  Ritter- 

roman.  339. 

317.  Satirischer  R.  340. 

318.  Schaferroman.     296.  341. 

319.  Schauer — licher    R    (Jeitteles,  of 

Mrs.  Radcliffe)  ; — roman.    59.  342. 


Schelmenroman.    73. 
Schwank. 
Seeroman. 

Selbst — biographischer    R ;  —  bio- 
graphic.   227. 
Sensationsroman. 
Sentimentaler  R ;  Sentimentalitats- 

roman. 
Sitten — gemalde ;  —  roman ;  —  und 

Familienroman.       (Jeitteles,    of 

Richardson.) 
Socialer  R.    255. 
Soldatenroman. 

Staatsroman.     (Riemann.)     299. 
Stoff roman.    107. 
Tendenzroman ;  Tendenzioser  R. 
Theaternovelle. 
Theologischer  R. 
Trans  —  atlantischer  R ;  —  ocean- 

ischer  R,  Abenteuer-  und.     170. 
Umwandlungsroman. 
Unterhaltungsroman. 
Vaterlandischer  R. 
Volks  —  buch;  —  marchen;  — 

roman ;  volkstiimlicher  R. 
Wundermarchen. 
Zauberroman.     (Hildebrand.)    92. 
Zeit  —  geschichtlicher  R ;  —  roman. 

(Mielke.)     38. 
Zeitungsroman.     (Mielke.)    248. 


ITALIAN   AND   SPANISH 


343.  Amatoria,  Novela ;   R.  d'  Amore ; 

Historia  amorosa. 

344.  Analitico,  R. 

345.  Brevo,  Racconto. 

346.  Caballeria,  —  Novela  de; — Libro 

de ;  R.  di  Cavalleria. 

347.  Campagnuol  (a;  o),  Novella;  Rac- 

conto. 

348.  Capa  y  Espada,  Novela  de.    71. 

349.  Comico,  R. 

350.  Corta,  Novella. 

351.  Cuadros.    (T.  T.) 

352.  Cuento. 

353.  Exemplares,  Novelas.  (Cervantes.) 

354.  Fabula. 

355.  Fantasia. 


356.  Historia;  Novela  Historica;  His- 

torieta;  Historion. 

357.  Idilio;  Idillio. 

358.  Impressionisto,  R. 

359.  Intimo,  R. 

360.  Istoria;  R.  Istorico. 

361.  Legendario;  Leggenda;  Leyenda. 

362.  Naturalista,  R. 

363.  Novela. 

364.  Novella. 

365.  Obiettivo,  R.     (Robiati.)     381. 

366.  Pastello. 

367.  Pastorale,    R;     Novela     Pastoral; 

Pastorela. 

368.  Patrana. 

369.  Picaresco,  R;  Novela  Picaresca. 


TYPES   OF   PROSE   FICTION 


285 


370.  Politico,  R. 

371.  Popolare,      Racconto; 

Libro;  Narracion. 

372.  Psicologico,  R. 

373.  Racconto. 

374.  Realisto,  R. 

375.  Relacion. 


Popular, 


376.  Romanzo. 

377.  Rusticana,  Novella. 

378.  Satirico,  R. 

379.  Sintetico-obiettivo,  R.     (Robiati.) 

380.  Storia;  Storiella;  Storietta. 

381.  Subiettivo,  R.     (Robiati.)    365. 

382.  Suenos.    (T.  T.) 


IV.  NOTES  ON  THE  HISTORY  OF  NOVELISTIC 
CRITICISM 

No  volume  devoted  to  this  subject  has  appeared,  so  far  as  the 
present  writer  is  aware.  The  following  works  are  helpful,  as  giving 
the  general  background  of  the  development  of  criticism,  or  as  con- 
taining specific  reference  to  the  novel.  (Works  not  identified  in 
these  Notes  will  be  found  listed  in  the  Bibliography.) 

Brunetiere  :  L'Evolution  de  la  Critique.  Roman  Naturaliste.  —  Borinski. — 
Braitmaier. — Dunlop.  See  the  extended,  though  poorly  arranged 
bibliography  prefixed  to  the  text.  (Bohn  edition.)  —  Gayley  and  Scott. 

—  Hamelius  :    Die  Kritik  in  der  englischen  Litteratur  des    I7ten  und 
iSten    Jahrhunderts.       (Leipzig,    1897.)  —  Haym.  —  Korting. —  Mai- 
gron.  —  Moulton  :    Library  of    Literary  Criticism.  —  Raleigh.  —  Rie- 
mann.  —  Rocafort.  —  Saintsbury  :      History    of    Literary    Criticism. 
(Referred  to  as   "S"  in  the   following   pages.)  —  Spingarn  :    History 
of  Literary  Criticism   in   the   Renaissance.      (N.Y.,    1899.)  —  Warren. 

—  Wylie  :    Evolution   of   English   Criticism.     (Boston,  1894.) 

The  following  notes  are  a  slight  introduction  to  a  vast  field.  — 
Criticism  of  immediate  interest  to  the  student  of  the  novel  is  found 
in  works  on  the  general  history  of  literature,  in  aesthetics,  in  works 
on  the  epic  and  drama,  etc.,  etc.  Indexes  to  periodical  literature 
show  an  accumulation  of  material  it  would  take  years  to  assimilate. 
Much  of  the  best  criticism  is  found  in  biographies  of  the  novelists. 

It  may  be  noted  that  the  novel  itself  has  often  been  a  mode  of 
criticism,  since  the  beginning.  Kastner  and  Atkins  say  of  Anatole 
France,  "The  critical  spirit  pervades  the  whole  of  his  thought, 
so  much  so  that  his  novels  are  almost  as  much  of  criticism  as 
romance."  Individual  novels,  especially  parodies,  are  frequently 
criticisms  of  other  novels,  or  schools  of  novelists. 

286 


HISTORY    OF   NOVELISTIC  CRITICISM  287 

GR^ECO-ROMAN  PERIOD 

Aristotle.  —  The  Poetics  influenced  the  theory  of  the  novel,  to  some  extent, 
in  the  Renaissance  and  the  i8th  century.  Cf.  S.,  II.,  p.  58. 

Plato.  —  Use  and  exposition  of  didactic  allegory.  —  His  treatment  of  the  social 
effect  of  fiction  influenced  Renaissance  defenses  of  poetry. 

The  romances  themselves  were  the  product  of  a  critical  spirit.  See  also 
Dunlop,  I.,  pp.  36 ;  96 ;  105. 

THE   MIDDLE  AGES  — TO   1400 

"From  the  5th  to  the  I5th  century  .  .  .  humanity  was  obliged  to  do 
as  well  as  it  could  without  the  solace  of  novels."  (Warren.)  — "  The 
Middle  Ages  were  not  critical."  (S.) 

Defense  of  realism  in  Boccaccio,  Chaucer,  etc. 

Religious  application  of  fiction,  as  in  the  Gesta  Romanorum. 

Critical  consciousness  in  the  saga  and  verse  romance.  On  the 
relations  of  epic  and  romance,  see  Ker,  and  Saintsbury's  Flourish- 
ing of  Romance. 

Eustathius.  —  Hysmenia  and  Hysmene.  A  caricature  of  Tatius.  (Rohde- 
Dunlop.) 

Photius.  —  Myriobiblion.  (pth  century.)  Abridgments  and  fragmentary  criti- 
cisms of  Greek  and  Latin  romances.  (Dunlop.) 

THE   FIFTEENTH   CENTURY 

Caxton.  —  Critical  work  as  editor,  translator,  expositor,  and  defender  of  ro- 
mance. His  preface  to  Morte  d' Arthur  is  "  memorable  as  marking  the 
beginning  of  prose  fiction."  (Raleigh.) 

Martorell. — Tirante  el  Blanco,  (cir.  1450.)  Is  a  "predecessor  of  Don 
Quixote  and  ...  no  less  a  parody  on  the  genuine  romances  of  chiv- 
alry." (Warren.) 

Sannazaro.  —  Arcadia.     On  its  critical  significance,  see  Garnett,  and  Warren. 

THE   SIXTEENTH   CENTURY 

The  numerous  critical  treatises  scarcely  touched  prose  fiction, 
though  discussing  many  matters  related  to  it,  such  as  the  use  of 
vernacular,  epic  theory  and  technic,  allegory,  etc. 


288  APPENDIX 

Pastoral  romance  continued  to  represent  classical  scholarship 
and  artistic  motive. 

Picaresque  fiction  was  a  critical  as  well  as  creative  reaction  from 
the  older  romance  spirit. 

ENGLISH 

"  A  singular  scorn  for  the  older  romances  is  displayed  by  the  men  of 
the  later  i6th  century."  (Raleigh.) 

Ascham.  —  The  Schoolmaster.  Severe  criticism,  from  a  Protestant  and  Eng- 
lish point  of  view,  of  Morte  d' Arthur,  and  the  Italian  novelle.  See  below, 
1 8th  century,  English,  Warton. 

Lyly. — The  Euphues  embodies  a  theory  of  poetical  prose.  See  also  its 
prefaces  and  dedications. 

Painter.  —  The  Palace  of  Pleasure.  (1566.)  The  preface  gives  some  expo- 
sition and  defense  of  the  novella. 

Sidney.  —  Arcadia.  Burlesque  of  pastoral  romance  and  romance  of  chivalry ; 
the  author's  disdain  for  the  work.  —  Defense  of  Poetry.  Much  that  is 
essentially  applicable,  though  not  applied,  to  prose  fiction. 

FRENCH 

Brugis.  (Belgian.)  —  Nonis  Aprilis.  (1523.)  Satirical  attitude  toward 
romance  of  chivalry.  See  Goedeke  :  Grundriss  zur  Geschichte  der 
deutschen  Dichtung  (1884),  I.,  p.  340. 

ITALIAN 

See  S.  on  Castelvetro  (II.,  p.  84),  and  on  Cinthio  and  Pigna  (II., 
p.  214). 
Giraldi.  —  Discorsi  intorno  al  comporre  dei  Romanzi.     (1554.) 

SPANISH 

For  the  critical  relations  of  early  picaresque  fiction,  see  Chandler  and 
Warren. 

THE   SEVENTEENTH   CENTURY 

ENGLISH 

Some  of  the  tendencies  suggested  by  the  following  references 
are  :  Indifference  toward  romance  on  the  part  of  scholars ;  gen- 


HISTORY   OF  NOVELISTIC   CRITICISM  289 

eral  hostility  of  the  idealists,  especially  the  Puritans ;  the  vogue 
of  the  aristocratic  heroic  romance ;  the  democratic  sub-current ; 
the  debased  realism  of  the  Restoration;  conscious  distinction 
between  romance  and  novel. 

Bacon.  —  Wisdom  of  the  Ancients.  Theory  of  allegory  implied  and  stated. 
—  Advancement  of  Learning.  Dunlop  quotes  a  famous  passage,  with 
"fiction"  substituted  for  the  "poetry"  of  some  translations.  (Introduc- 
tion.)—  In  the  main,  Bacon  seems  afraid  to  linger  in  the  domain  of 
romance.  —  See  S.  on  his  general  position. 

Barclay.  —  Argenis.  (1621.)  The  allegorical  purpose  is  explained  (II.,  14) 
according  to  the  current  sugar-coated  pill  idea. 

Bunyan.  —  See  Masson,  p.  82,  and  cf.  Defoe,  below.  Bunyan's  influence  on 
Defoe  and  realism  in  general  was  unintentional. 

Congreve.  —  Incognita.     (1692.)     See  Raleigh,  p.  101. 

Davenant.  —  Preface  to  Gondibert.     (1651.)     See  S.,  II.,  p.  368. 

Dryden.  —  Much  criticism  on  matters  related  to  prose  fiction,  such  as  heroic 
poetry,  satire,  allegory,  etc.  A  novelistic  method  of  acquiring  materials 
is  recorded  in  the  preface  of  Annus  Mirabilis. 

Head,  —  The  English  Rogue.  (1665-71.)  The  prefatory  matter  defends 
realistic  method  in  about  the  same  spirit  shown  by  Defoe,  Fielding, 
Smollett,  etc.  "Though  it  may  seem  a  romance  .  .  .  there  is  nothing  but 
the  truth,  naked  as  she  ought  to  be,"  etc.  Burlesque  of  high-flown  style, 
and  other  points  of  critical  interest. 

Ingelo.  —  Bentivolio  and  Urania.  (1660.)  Prefaces.  "  Examined  with  a  judi- 
cious eye  [romances]  would  appear  to  be  full  of  the  grossest  indecorums  of 
invention,  as  odious  misrepresentations  of  Divinity,  unnatural  descriptions 
of  Human  Life,  improper  and  profane  allusions  to  sacred  things,  frequent 
and  palpable  contradictions,  sottish  stories  and  in  short,  all  the  absurdities 
of  wild  imagination."  —  The  lovers  of  romance  "read  Fables  with  such 
affection,  as  if  their  .  .  .  best  interests  were  wrapped  up  in  them.  .  .  . 
How  unsatisfied  are  they  till  the  end  of  a  paper  combat  !  What  fears 
possess  them  for  the  Knight  whose  part  they  take.  .  .  .  How  are  they 
taken  with  pleasure  and  sorrow  for  the  good  and  bad  success  of  the 
Romantic  Lovers,"  etc. 

Jonson.  —  See  S.,  II.,  p.  208. 

Mackenzie.  —  Aretina.    (1661.)     See  Raleigh. 

Milton.  — Examine  Paradise  Lost,  opening  of  Bk.  IX.;  and  note  the  tendency 
of  the  Areopagitica,  as  to  popular  reading. 


2QO  APPENDIX 

FRENCH 
For  criticism  of  prose  fiction  in  general,  see  Korting  and  Maigron. 

Boileau.  —  Les  Heros  de  Roman.     See  Cross,  and  S.,  II.,  p.  292. 

Calprenede,  La.  —  Pharamond.  The  preface  objects  to  the  word  "  roman," 
because  it  confuses  historical  works  with  pure  inventions  like  Amadis. 
(Maigron.)  —  "  Durch  ihn  kommt  die  Romandichtung  zuerst  gleichsam 
vollig  zum  Selbstbewusstsein,"  etc.  (Korting,  I.,  p.  362.)  He  ob- 
served unity  of  place.  (Ibid.) 

Chapelain.  —  Sur  la  Lecture  des  Vieux  Romans.     See  S.,  II.,  p.  260. 

Fancan. —  Le  Tombeau  des  Romans.     (1626.)     See  Dunlop,  II.,  p.  344. 

Fresnaye,  Vauquelin  de  la.  —  Art  Poetique.     (1605.)     See  S.,  II.,  p.  131. 

FuretiSre.  —  Roman  Bourgeois.  (1666.)  See  S.,  II.,  p.  554,  and  Raleigh, 
p.  115. 

Huct.  —  De  1'Origine  des  Romans.  (1670.)  See  S.,  II.,  p.  275,  and  Dunlop, 
introduction  and  passim, 

Molidre.  —  Les  Precieuses  Ridicules.  As  a  burlesque  on  the  love  motifs  of 
Scudery,  see  Cross. 

Scarron.  —  Roman  Comique.     As  a  burlesque. 

ScudSry,  Georges  de.  —  Preface  to  Ibraham.  "  Mais  entre  toutes  les  regies 
qu'il  faut  observer,  celle  de  la  vraisemblance  est  sans  doute  la  plus  ne- 
cessaire."  (Quoted  in  Maigron.)  —  See  also  S.,  I.,  p.  266. 

Scud6ry,  Madeleine  de. — See  Maigron,  and  under  "  vraisemblance,"  Glossary. 

Sorel.  —  Berger  Extravagant.     (1627.)    As  a  burlesque  —  "  antipastorale." 

GERMAN 
Birken.  —  Kurze  Anweisung  zur  deutschen  Poesie.     (1679.)     Considers  the 

relations  of  romance  to  pastoral,  history,  epic,  etc. 
Zesen.  —  One  of  the  most  popular  fiction  writers  of  the  century,  but  does 

not  mention  the  romance  in  his  poetic  theory.    (Borinski,  p.  278.) 

SPANISH 

Cervantes.  —  Don  Quixote.  See  S.,  II.,  p.  347.  Note,  however,  these  pas- 
sages in  the  novel:  I.,  I.,  6;  I.,  L,  21.  See  above,  Martorell. — There  is 
a  bit  of  pastoral  criticism  in  the  preface  to  Galatea,  and  of  realistic  ethics 
in  the  preface  of  the  Novelas  Exemplares. 

THE  EIGHTEENTH  CENTURY 

This  is  the  period  in  which  the  "  modern  novel,"  in  one  sense, 
arose,  and  it  is  a  period  of  special  critical  activity.  These  two 
facts  are  doubtless  closely  related. 


HISTORY  OF   NOVELISTIC   CRITICISM  291 

There  is  vigorous  criticism  of  the  novel  in  England  and  Ger- 
many ;  perhaps  less  notable  criticism  in  France.  Among  the 
general  phases  of  this  criticism  one  may  note  :  The  defense  of 
realism,  and  the  rise  of  romantic  doctrine ;  specific  criticism  of 
the  Gothic  romance,  and  of  the  sentimental  movement ;  increased 
attention  to  the  theory  and  technic  of  prose  fiction ;  more  careful 
effort  to  distinguish  romance  from  novel;  considerable  attention 
to  the  history  of  fiction,  and  to  biographical  sketches  of  novelists ; 
the  development  of  book-reviewing  in  the  periodicals ;  a  general 
neglect  of  prose  fiction  in  the  histories  of  literature,  and  in  works 
of  general  literary  criticism  ;  considerable  hostility  to  fiction,  with 
reference  to  its  great  popularity,  and  the  evil  effect  of  circulating 
libraries. 

ENGLISH 

Blair,  Hugh.  —  Rhetoric  (1783).  "There  remains  to  be  treated  of  another 
species  of  composition  in  prose,  which  comprehends  a  very  numerous, 
though,  in  general,  a  very  insignificant  class  of  writings  known  by  the 
name  of  romances  and  novels.  These  may,  at  first  view,  seem  too  in- 
significant to  deserve  that  any  particular  notice  should  be  taken  of  them." 
But  it  is  explained  that  the  trouble  is  with  the  authors  rather  than  with 
the  nature  of  the  species ;  and  Blair  gives  a  fairly  generous,  though  very 
brief,  treatment  of  prose  fiction. 

Defoe.  —  Defense  of  realism,  and  relation  of  fiction  to  fact  in  his  prefaces ; 
the  doctrine  of  allegory  in  the  Third  Part  of  Robinson  Crusoe,  with 
reference  to  the  Biblical  parables.  —  See  Geissler.  (Halle  dissertation, 
1896.) 

Fielding,  Henry.  —  Much  theoretical,  technical,  and  ethical  criticism  in  his 
prefaces  and  intercalated  essays.  See  prefaces  of  Amelia,  Joseph 
Andrews,  David  Simple,  Letters  of  David  Simple,  Tom  Thumb,  and 
Covent  Garden  Tragedy ;  Joseph  Andrews,  I.,  I  and  7,  II.,  I,  III.,  I  ; 
Tom  Jones,  first  chapters  of  Books  V.,  VI.,  VIII.,  IX.,  X.,  XL,  and  XVI.; 
Jonathan  Wild,  I.,  I  ;  and  essays  on  Conversation,  and  Knowledge  of 
Men.  Also  note  his  burlesque  element.  —  See  p.  265  in  this  Appendix. 

Fielding,  Sarah.  —  Theoretical,  technical,  and  ethical  criticism  in  the  pref- 
aces of  The  Cry  and  The  Countess  of  Dellwyn.  Discussion  of  chorus, 
episode,  characterization,  relations  of  the  novel  to  the  drama  and  the 
essay,  definition  of  "humors,"  and  of  "romantic,"  etc.  "The  motives 
to  actions,  and  the  inward  turns  of  mind,  seem,  in  our  opinion,  more 


2Q2  APPENDIX 

necessary  to  be  known  than  the  actions  themselves;  and  much  rather 
would  we  choose  that  our  reader  should  clearly  understand  what  our 
principal  actors  think  than  what  they  do."  —  (Were  these  notable  pref- 
aces written  or  inspired  by  Henry  Fielding  ?) 

Gentleman's  Magazine,  The.  —  Reviews  many  novels  toward  the  end  of 
the  century;  giving  a  half  column  to  Evelina,  five  columns  to  Juliet 
Grenville,  ten  columns  to  Humphrey  Clinker,  etc. 

Goldsmith.  —  Citizen  of  the  World.  Criticism  of  "  Bawdry  and  Pertness  " 
(an  attack  on  Smollett)  in  No.  53 ;  and  see  also  No.  33. 

Gray.  —  For  his  views  of  Ossian,  The  Castle  of  Otranto,  etc.,  see  Phelps. 

Hurd.  —  Letters  on  Chivalry  and  Romance  (1762).     See  S.,  Vol.  III. 

Johnson.  —  Definitions  of  romance  and  novel  in  the  Dictionary ;  The 
Rambler,  No.  365 ;  Preface  to  Shakespeare ;  many  passages  in  Boswell. 
See  Section  166  of  the  present  volume.  • 

Kames.  —  Elements   of  Criticism    (1762).     An   elaborate  aesthetic  treatise, 

/         hardly  mentioning  prose  romance. 

Law. —  Serious  Call.  (1726.)  This  famous  ascetic  work,  influencing  the 
Methodist  movement,  unconsciously  supports  the  theory  and  practise  of 
the  realistic  novelists :  "  If  you  are  told  only  in  the  gross  of  the  folly 
and  madness  of  a  life  devoted  to  the  world,  it  makes  little  or  no  impres- 
sion upon  you ;  but  if  you  are  shown  how  such  people  live  every  day ;  if 
you  see  the  continual  folly  and  madness  of  all  their  particular  actions 
and  designs,  this  would  be  an  affecting  sight,"  etc.  (Chapter  XII.) 

Leland. —  Longsword.     (1762.)     See  Phelps. 

Moore,  John.  —  View  of  the  Commencement  and  Progress  of  Romance.  Life 
of  Smollett.  (Both  prefixed  to  Smollett's  Works,  1797.) 

Reeve,  Clara. — The  Progress  of  Romance.  (Two  vols.,  Dublin,  1785.) 
"  While  many  eminent  writers  have  .  .  .  skimmed  over  the  surface  of 
this  subject,  it  seemed  to  me  that  none  of  them  had  sounded  the  depths 
of  it.  ...  Of  metrical  Romances  they  have  treated  largely,  but  with 
respect  to  those  in  prose,  their  informations  have  been  scanty  and  imper- 
fect." (Preface.)  While  beginning  with  Greek  romance,  the  considera- 
tion of  1 8th  century  fiction  is  liberal.  Particular  attention  is  given  to 
the  differences  between  the  "  old  [medieval]  Romances,"  "  modern 
[heroic]  Romances,"  and  "the  Novel." — The  prefaces  of  The  Phoenix 
(translation  of  Barclay's  Argenis),  and  of  The  Old  English  Baron,  are  of 
considerable  critical  importance.  —  Preface  of  The  School  for  Widows. 
Criticism  of  the  reigning  sentimental  school;  and  distinction  between 
true  and  false  sensibility. 

Richardson.  —  Exposition  of  epistolary  technic,  and  of  ethical  interest,  in 
critical  addenda  to  Pamela  and  Clarissa. 


HISTORY   OF   NOVELISTIC   CRITICISM  293 

Smollett.  —  Preface  and  Chapter  I.  of  Ferdinand,  Count  Fathom  ;  burlesque 
of  Gothic  method  in  Sir  Launcelot  Greaves.  —  "A  novel  is  a  large  dif- 
fused picture,  comprehending  the  characters  of  life,  disposed  in  different 
groups,  and  exhibited  in  various  attitudes,  for  the  purposes  of  an  uniform 
plan,  and  general  occurrence,  to  which  every  individual  figure  is  sub- 
servient. But  this  plan  cannot  be  executed  with  propriety,  probability, 
or  success,  without  a  principal  personage  to  attract  the  attention,  unite 
the  incidents,  unwind  the  clue  of  the  labyrinth,  and  at  last  close  the 
scene,  by  virtue  of  his  own  importance."  (Preface  of  F.  C.  F.) 

Walpole.  —  The  Castle  of  Otranto.     See  Phelps. 

Warton,  Thomas.  —  History  of  English  Poetry.  (1778-81.)  Answers 
Ascham's  attack  on  the  Italian  novelle,  and  devotes  about  eighteen 
pages  to  them  (Section  LX.) ;  defends  an  interest  in  romance  in  general 
(Section  V.).  See  S.,  III.,  p.  70  ff. 

See  also  prefaces  of  Brooke's  Fool  of  Quality ;  Day's  Sandford  and  Merton ; 
Graves'  Columella,  and  The  Spiritual  Quixote ;  Johnstone's  Chrysal;  and 
many  other  novels  of  the  century. 


FRENCH 

For  the  novelistic  doctrine  of  the  Encyclopaedists  in  general,  see  Rocafort, 

Chapter  IV. 

Diderot. — Eloge  de  Richardson.  (1742.)  Famous  for  its  "  superstitious  ad- 
miration." In  a  well-known  passage  he  places  Richardson  beside  Moses, 
Homer,  Euripides,  and  Sophocles,  to  be  read  by  turns.  —  "  Par  un  roman,  on 
a  entendu  jusqu'a  ce  jour  un  tissu  d'evenements  chimeriques  et  fri- 
voles,  dont  la  lecture  etait  dangereuse  pour  le  gout  et  pour  les  moeurs. 
.  .  .  le  fond  de  son  drame  est  vrai ;  ses  personnages  ont  toute  la 
re"alite  possible ;  ses  caracteres  sont  pris  du  milieu  de  la  societe;  ses  inci- 
dents sont  dans  les  moeurs  de  toutes  les  nations  policees ;  ...  les 
passions  qu'il  peint  sont  telles  que  je  les  eprouve  en  moi ;  .  .  .  il  me 
montre  le  cours  general  des  choses  qui  m'environnent."  See  S.,  III., 
p.  92. 

Fresnoy,  Lenglet  du.  —  L'Histoire  justifiee  centre  les  Romans.     (1735.) 

Rousseau.  — Preface  to  La  Nouvelle  HeloTse.  (1760.)  On  the  relation  of 
the  novel  to  social  degeneracy,  etc.  —  References  to  fiction,  especially 
his  own  novels,  in  the  Confessions. 

Voltaire.  —  Criticism  of  Rousseau,  Sterne,  and  Swift,  etc.     See  S.,  II.,  p.  5 16. 


294  APPENDIX 

GERMAN 

For  the  criticism  of  the  latter  part  of  the  century,  see  Braitmaier,  Haym, 

and  Riemann. 

Blankenburg. — Versuch  fiber  den  Roman.  (1766.)  See  Riemann,  p.  4 
and  passim. 

Bodmer.  —  "  Bodmer,  in  dealing  with  prose  fiction,  recognizes,  as  few  critics 
had  recognized,  the  second  greatest  division  of  the  imaginative  literature 
of  the  world."  (S.,  III.,  p.  25.  See  the  whole  of  the  passage.) 

Goethe. — Wilhelm  Meisters  Lehrjahre,  V.,  7.  On  the  relations  of  drama 
and  novel. 

Gottsched.  —  Kritische  Dichtkunst.  (1730.)  "Ihre  Verfasser  [of  the  com- 
mon novels]  verstehen  oft  die  Regeln  der  Poesie  so  wenig,  als  die  wahre 
Sittenlehre :  daher  ist  es  kein  Wunder,  wenn  sie  einen  verliebten  Laby- 
rinth in  den  andern  bauen,  und  eitel  Thorheiten  durcheinander  flechten, 
ihre  wolliistige  Leser  noch  iippiger  zu  machen,  und  die  Unschuldigen  zu 
verfuhren.  Wenn  sie  erbaulich  seyn  sollten,  miissten  sie  nach  Art  eines 
Heldengedichtes  abgefasset  werden,  wie  Heliodorus,  Longus,  Cervantes  und 
Fenelon  gethan  haben."  (Third  ed.,  1742,  p.  167.)  —  Beitrage  zur 
kritischen  Historic.  (1732-44.)  "  Ein  Roman  muss  sowohl  als  andere 
Schriften,  nach  geivissen  Regeln  abgemessen  und  eingerichtet  werden. 
Sein  erster  Hauptzweck  soil  dieser  sein,  dass  er  dem  Leser  allezeit  die 
Tugend  belohnt  und  das  Laster  bestraft  vorstelle.  Alle  diejenigen, 
welche  hierwider  anstossen,  entfernen  sich  von  einem  Ziele,  welcher  der- 
gleichen  Schriften  allein  leidlich  macht." — See  also  S.,  II.,  p.  555  ff. 

Lessing.  — Some  criticism  of  La  Nouvelle  Helolse,  in  Hamburgische  Drama- 
turgic, Nos.  8  and  9. 

Mendelssohn,  Moses.  — Criticism  of  La  Nouvelle  Helolse  in  his  Letters  con- 
cerning Contemporary  Literature.  See  also  Braitmaier,  II,  p.  236  ff. 

Nicolai,  Friedrich.  —  Preface  to  Sebaldus  Nothanker.  (1773.)  "Alle  Bege- 
benheiten  sind  in  unserer  Erzahlung  so  unvorbereitet,  so  unwunderbar, 
als  sie  in  der  weiten  Welt  zu  geschchen  pflegen.  .  .  .  Die  Personen 
.  .  .  sind  ganz  gemeine  schlechte  und  gcrechte  Leute,"  etc. 

Novalis.  —  "Die  Liebe  ist  das  liochste  Reale,  der  Urgrund  ;  alle  Romane, 
wo  wahre  Licbe  vorkommt,  sind  Marchen,  magische  Bcgebenheiten."  — 
"Der  Roman  ist  gleichsam  die  freie  Geschichte,  gleichsam  die  Mythologie 
der  Geschichte."  All  must  be  "  so  natvirlich  und  doch  so  wunderbar, 
dass  man  glaubt,  es  konne  nicht  anders  sein,  und  als  habe  man  nur 
bisher  in  der  Welt  geschlummert  und  gehe  einem  nun  erst  der  rechte 
Sinn  fur  die  Welt  auf."  See  also  S.,  III.,  pp.  388-9. 

Schiller.  —  See  S.,  III.,  p.  381  ff. 


HISTORY   OF   NOVELISTIC   CRITICISM  295 

FIRST  HALF  OF  THE  NINETEENTH  CENTURY 

In  this  period  the  novel  became,  in  the  view  of  many  critics,  and 
largely  owing  to  Walter  Scott,  a  "grand  genre."  The  critical 
theory  of  the  romantic  school  was  inclined  to  accept  the  novel,  on 
account  of  its  freedom  from  traditions,  its  ready  adaptation  to  the 
individual  writer,  and  the  lyrical  mood.  The  lingering  traces  of 
classical  criticism  appear  in  continued  disdain  of  romance  in  gen- 
eral. Specifically,  criticism  was  at  first  largely  occupied  with 
Scott,  partly  with  the  new-old  question  of  the  relations  of  history 
to  fiction  raised  by  the  Waverley  Novels.  Later,  realistic  reaction 
against  the  romantic  movement  appeared  in  theories  of  fiction,  as 
elsewhere.  —  For  the  purposes  of  the  general  student,  this  is  the 
period  in  which  American  and  Russian  criticism  first  became  of 
significance. 

AMERICAN 

Some  general  tendencies  may  be  noted  in  the  periodicals;  among  which 
The  Portfolio  (1801-27),  The  North  American  Review  (established,  1815), 
The  Knickerbocker  (1833-58),  and  The  Dial  (1840-44)  are  important. 

Fuller  (Ossoli),  Margaret. — Brief  notes  on  American  novelists. 

Poe.i"—  Preface  of  Murders  in  the  Rue  Morgue;  periodical  reviews,  and  essay 
on  The  Philosophy  of  Composition.  The  last  has  become  a  classic  in  the 
criticism  of  the  short  story,  though  written  with  lyric  poetry  mainly  in 
mind.  Compare  also,  "The  Poetic  Principle." 

Prescott,  W.  H.  —  Biographical  and  Critical  Miscellanies  include  Memoir 
of  C.  B.  Brown,  Cervantes,  Sir  Walter  Scott,  Chateaubriand's  English 
Literature,  and  Poetry  and  Romance  of  the  Italians;  all  of  which  have 
some  reference  to  prose  fiction.  In  the  Chateaubriand,  he  touches  at 
some  length  on  the  relation  of  history  to  fiction. 

Whipple,  E.  P.^—  Literature  and  Life.  (1849.)  A  chapter  on  Novels  and 
Novelists  contains  some  general  theory,  criticism  of  the  sentimental 
school,  selection  of  Wilhelm  Meister  as  "perhaps  the  greatest  single 
novel,"  etc. 

ENGLISH 

Barbauld,  Mrs. — Introduction  to  Correspondence  of  Richardson.  (1804.) 
Outline  history  from  Greek  romance  to  Rousseau,  etc. 


296  APPENDIX 

Bulwer  Lytton  —  attempts  serious  historical  or  aesthetic  criticism  in  a  con- 
siderable  number  of  prefaces,  and  in  a  few  essays. 

Carlyle.  —  Severe  criticism  of  the  Waverley  Novels  in  the  essay  on  Scott  — 
"  not  profitable  for  doctrine,  for  reproof,  for  edification,  for  building  up 
or  elevating  in  any  shape,"  etc.  He  criticizes  Scott's  facility,  but  praises 
his  effect  on  the  conception  of  history.  —  Essays  on  German  literature, 
and  preface  to  Wilhelm  Meister. 

Coleridge.  —  Chapter  23  of  Biographia  Literaria  contains  severe  criticism 
of  Clarissa  and  of  Gothic  romance.  —  See  also  Statesman's  Manual,  para- 
graph 12;  Table-Talk,  passim  ;  many  fragments  in  his  lectures  of  1818; 
Sections  160  and  165  of  the  present  work,  and  Tuckerman,  p.  200. 

De  Quincey.  —  "  Novels  are  the  one  sole  class  of  books  that  ever  interest  the 
public,  that  reach  its  heart,  or  even  catch  its  eye.  And  the  reason  why 
novels  are  becoming  much  more  licentious,  and  much  grosser  in  the  arts 
by  which  they  court  public  favor,  lies  undoubtedly  in  the  quality  of  that 
new  reading  public  which  the  extension  of  education  has  added  to  the 
old  one."  (Quoted  by  F.  N.  Scott.) — Condemnation  of  Wilhelm 
Meister,  in  Essay  on  Goethe.  —  See  S.,  III.,  p.  479. 

Dickens.  —  Prefaces  of  several  novels ;  mainly  on  the  sources,  process  of 
composition,  purpose,  etc. 

Dunlop  —  was  remarkably  defective  in  reference  to  Russian  and  Scandi- 
navian fiction.  His  distribution  of  space  is  about  as  follows :  from  Greek 
romance  to  Boccaccio,  480  pages  ;  from  Boccaccio  to  1 700,  490  pages ; 
the  1 8th  century,  50  pages.  —  See  p.  266  in  this  Appendix. 

Hallam.  — Literature  of  Europe.  (1837.)  "Fiction"  is  a  regular  heading 
in  the  latter  part  of  the  work. 

Hazlitt,  William.  — English  Poets,  Chapter  I. ;  —Age  of  Elizabeth,  Lectures 
VI.  and  VIII.;  —  English  Comic  Writers,  chapter  on  novelists;  —  and 
the  essay,  Why  the  Characters  of  Romance  are  Insipid.  —  See  also  S., 
TIL,  p.  251  ff. 

Jeffrey  -—reviewed  a  great  deal  of  fiction  during  the  first  quarter  of  the 
century,  in  the  Edinburgh  Review.  His  technical  interest  may  be  indi- 
cated by  the  terms  used  in  February,  1818  (Rob  Roy)  :  scene,  underplot, 
structure,  situation,  action,  coloring,  and  design.  — In  March,  1817  (Tales 
of  My  Landlord),  he  gives  this  general  approval  of  fiction:  "If  novels, 
however  (generally  regarded  as  among  the  lower  productions  of  our 
literature),  are  not  fated  to  last  as  long  as  epic  poems,  they  are  at  least  a 
great  deal  more  popular  in  their  season  ;  and  slight  as  is  their  structure, 
and  imperfect  as  their  finishing  may  often  be  thought  in  comparison,  we 
have  no  hesitation  in  saying  that  the  better  specimens  of  the  art  are 
incomparably  more  entertaining,  and  considerably  more  instructive."  — 


HISTORY   OF   NOVELISTIC  CRITICISM 


297 


In  1843,  Jeffrey  wrote  an  introductory  note  to  collected  Reviews  of 
Novels,  Tales  and  Prose  Works  of  Fiction,  in  which  he  gives  a  very 
interesting  "  corrected  impression  "  of  the  novel  in  general. 

Kingsley,  Charles.*^  Preface  and  epilogue  of  Yeast ;  preface  of  Alton  Locke, 
and  of  his  edition  of  The  Fool  of  Quality.  —  See  S.,  III.,  p.  539. 

Mangin,  Edward.  —  Preface  to  Richardson's  Novels.  (1810.)  Contrasts 
Richardson's  works  with  the  debased  "circulating  novel"  of  his  own 
time. 

Newman,  J.  H.  — Prospects  of  the  Anglican  Church.  (1839.)  A  brief  but 
significant  approval  of  Scott,  as  preparing  "men  for  some  closer  and 
more  practical  approximation  to  Catholic  truth."  .  .  .  Contrasted  with 
"  the  popular  writers  of  the  last  century,  with  its  novelists,  and  some  of 
its  most  admired  poets,  as  Pope,  [Scott's  poems  and  romances]  stand 
almost  as  oracles  of  Truth  confronting  the  ministers  of  error  and  sin." 

Scott.  —  His  numerous  and  various  prefaces  contain  a  mine  of  interesting 
matter. — The  essay  on  Amadis  of  Gaul  is  a  noteworthy  study  of  the 
romance  of  chivalry.  —  On  the  Supernatural  in  Fictitious  Composition 
(a  review  of  Hoffman).  — Essay  on  Romance.  —  Lives  of  the  Novelists. 
—  The  Journal  (published,  1900). 

Talfourd.  — The  essay  on  British  Novels  and  Novelists  includes  a  general 
defense  of  romance.  In  this  and  in  other  essays,  Talfourd  wrote  on 
Defoe,  The  Fool  of  Quality,  Fielding,  Goldsmith,  Godwin,  Mackenzie, 
Maturin,  etc. 

Thackeray.  —  His  burlesque  fictions  are  criticisms  of  current  types  or  indi- 
vidual novelists.  Jerome  Paturot  contains  "  Consideration  on  Novels  in 
General,"  and  the  Paris  Sketch  Book  includes  a  "  Plea  for  Romances  in 
General."  —  See  also  the  consideration  of  novelists  in  English  Humor- 
ists ;  Chapter  I.  of  Henry  Esmond,  and  the  preface  of  Pendennis. 
See  S.,  III.,  on  Lockhart  and  Macaulay. 

FRENCH 

The  general  development  of  the  criticism  of  the  Romantic  Movement  is  to 
be  traced  in  Saintsbury,  and  in  all  histories  of  French  literature.  For  the 
criticism  of  Scott,  see  Maigron,  especially  Book  II.,  Chapter  I.  —  On  page 
158,  Maigron  gives  a  glimpse  of  the  artificial  criticism  of  late  classicism,  with 
its  twenty-six  conditions  for  perfect  tragedy,  twenty-three  for  comedy,  twenty- 
four  for  epic. 
Balzac.  —  Dedications  and  prefaces ;  especially  the  preface  of  La  Peau  de 

Chagrin. 
Chateaubriand.  —  His  general  relation  to  the  Romantic  School.  —  Essai  sur 


298  APPENDIX 

la  Litterature  Anglaise.  —  Genie  du  Christianisme.  —  See  American  criti- 
cism, Prescott,  above. 

Gautier.  —  See  S.,  III.,  p.  339  ff. 

Girardin,  Saint-Marc.  —  See  Bibliography. 

Hugo.  —  See  the  authorities  noted  above.  —  Preface  of  Notre  Dame  de  Paris. 
—  "  L'Histoire  dit  bien  quelque  chose  de  tout  cela  ;  mais  ici  j'aime  mieux 
croire  au  roman  qu'a  1'histoire,  parce  que  je  prefere  la  verite  morale  a  la 
verite  historique."  (Quoted  in  Maigron.) 

Hulot. — Instruction  sur  les  Romans.  (1825.) — Moral  argument  against 
romance. 

MSrime'e.  —  See  S.,  III.,  p.  348  ff. ;  Dowden,  French  Literature,  p.  410,  note. 

Sainte-Beuve.  —  There  is  much  criticism  of  novelists  in  the  Causeries,  Por- 
traits Contemporains,  Portraits  Litteraires,  and  Chateaubriand  et  son 
Groupe  Litteraire. 

Sismondi.  —  Litterature  du  Midi  de  1'Europe.  (1813-29.)  Some  35  pages 
out  of  1000  are  given  to  prose  fiction,  Cervantes  receiving  most  attention. 

Stael,  Mme.  de.  —  Essai  sur  les  Fictions.  (1795.)  "L'art  d'ecrire  des  romans 
n'a  point  la  reputation  qu'il  merite,  parce  qu'une  foule  de  mauvais  auteurs 
nous  out  accables  de  leurs  fades  productions  en  ce  genre,  ou  la  perfection 
exige  le  genie  le  plus  releve,  mais  ou  la  mediocrite  est  a  la  portee  de 
tout  le  monde.  .  .  .  Un  roman  tel  qu'on  peut  le  concevoir  ...  est  une  des 
plus  belles  productions  de  1'esprit  humain,  une  des  plus  influentes  sur  la 
morale  des  individus,  qui  doit  former  ensuite  les  mceurs  publiques.  .  .  .  On 
regarde  (les  romans)  comme  uniquement  consacres  a  peindre  1'amour,  la 
plus  violente,  la  plus  universelle,  la  plus  vraie  de  toutes  les  passions.  .  .  . 
L'ambition,  1'orgueil,  1'avarice,  la  vanite,  pourraient  etre  Pobjet  principal 
de  fictions  dont  les  incidents  seraient  plus  neufs  et  les  situations  aussi 
variees  que  celles  qui  naissent  de  1'amour.  .  .  .  On  peut  extraire  des  bons 
romans  une  morale  plus  pure,  plus  releve"e,  que  d'aucun  ouvrage  didac- 
tique  sur  la  vertu.  .  .  .  Les  evenements  ne  doivent  e*tre,  dans  les  romans, 
que  1'occasion  de  developper  les  passions  du  coeur  humain.  .  .  .  Les  romans 
que  1'on  ne  cessera  jamais  d'admirer  .  .  .  ont  pour  but  de  reveler  ou  de 
tracer  une  foule  de  sentiments  dont  se  compose,  au  fond  de  1'ime,  le  bon- 
heur  ou  le  malheur  de  1'existence,  ces  sentiments  qu'on  ne  dit  pas  parce 
qu'ils  se  trouvent  lies  avec  nos  secrets  ou  nos  faiblesses  et  parce  que  les 
hommes  passent  leur  vie  avec  les  hommes,  sans  se  confier  jamais  mutuelle- 
ment  ce  qu'ils  eprouvent.  .  .  .  Observer  le  coeur  humain,  c'est  montrer  a 
chaque  pas  1'influence  de  la  morale  sur  la  destinee.  ...  II  n'y  a  qu'un 
secret  dans  la  vie,  c'est  le  bien  ou  le  mal  qu'on  a  fait.  .  .  .  Cest  ainsi  que 
1'histoire  de  1'homme  doit  Sire  representee  dans  les  romans,  c'est  ainsi 
que  les  fictions  doivent  nous  expliquer,  par  nos  vertus  et  nos  sentiments. 


HISTORY   OF  NOVELISTIC  CRITICISM  299 

les  mysteres  de  notre  sort."  —  De  1'Allemagne.  —  Preface  of  Delphine, 
and  Quelques  Reflexions  sur  le  But  Moral  de  Delphine. 

Stendhal.  (Beyle.) — "Qu'est-ce  que  le  roman  de  Walter  Scott?  De  la 
tragedie  romantique,  entremelee  de  longues  descriptions."  (Quoted  in 
Maigron.) 

Vigny,  de.  —  Reflexions  sur  la  Verite  dans  1'Art.  (Preface  of  Cinq-Mars ; 
1826.)  "On  doit  s'abandonner  a  une  grande  indifference  de  la  realite" 
historique  pour  juger  les  oeuvres  dramatiques,  poemes,  romans  ou  trage- 
dies, qui  empruntent  a  1'histoire  des  personnages  memorables.  L'Art  ne 
doit  jamais  £tre  considere  que  dans  ses  rapports  avec  sa  beaut  e  ideale," 
etc. 

GERMAN 

For  the  romantic  critics,  see  Haym. 

Bouterwek.  —  Geschichte  der  Poesie  und  Beredsamkeit,  etc.  (Twelve  vols., 
1805-19.)  Vol.  III.,  English  translation,  "  History  of  Spanish  Litera.- 
ture."  (Bohn  Library.)  This  volume  gives  some  attention  to  prose 
fiction,  particularly  to  Cervantes.  "  The  result  [of  Cervantes'  initiative] 
has  proved  that  modern  taste,  however  readily  it  may  in  other  respects 
conform  to  the  rules  of  the  antique,  nevertheless  requires  in  the  narration 
of  fictitious  events,  a  certain  union  of  poetry  with  prose,  which  was  un- 
known to  the  Greeks  and  Romans  in  their  best  literary  ages." 

Jeitteles  —  gives  excellent  articles  on  the  Novelle  and  the  Roman. 

Goethe.  — See  S.,  III.,  363,  and  366  ff. 

Richter.  —  Vorschule  der  Aesthetik.  (1804.)  "Der  Roman  verliert  an 
reiner  Bildung  unendlich  durch  die  Weite  seiner  Form,  in  wekher  fast 
alle  Formen  liegen  und  Happen  konnen.  Ursprunglich  ist  er  cpisch  ; 
aber  zuweilen  erzahlt  statt  des  Autors  der  Held,  zuweilen  alle  Mitspieler. 
.  .  .  Aber  die  Neuern  wollen  wieder  vergessen,  dass  der  Roman  chcn 
sowohl  eine  romantische  dramatische  Form  annehmen  konne  und 
angenommen  habe.  Ich  halte  sogar  diese  scharfere  Form  .  .  .  fur  die 
bessere,  da  ohnehin  die  Laxitat  der  Prosa  dem  Romane  eine  gewissc 
Strengigkeit  der  Form  notig  und  heilsam  macht."  From  a  passage  on 
the  theory  of  the  novel.  —  See  also  S.,  III.,  p.  384  ff. 

Schlegel,  A.  W.  —  Vorlesungen  iiber  schone  Litteratur  und  Kunst.  (1803- 
04.)  On  the  different  relations  of  prose  and  verse  in  ancient  and  modern 
literature.  "  Und  so  wircl  der  Roman  nicht  als  Beschluss  und  Ausartung, 
sondern  als  das  erste  in  der  neueren  Poesie  gesetzt ;  eine  Gattung,  welche 
das  Ganze  derselben  reprasentieren  kann.  .  .  .  One  who  cannot  under- 
stand Cervantes  "hat  wenig  Hoffnung  den  Shakespeare  zu  begreifen."— 


300  APPENDIX 

See  also  his  essays  on  Lafontaine,  Schulz,  "Ueber  den  dramatischen 
Dialog,"  etc. 

Schlegel,  Friedrich.  —  Geschichte  der  alten  und  neuen  Litteratur.  (1815.) 
Some  historical  account  of  the  novel,  with  some  theory.  His  roman- 
ticism appears  in  the  criticism  of  Cervantes  and  Richardson.  In  the 
later  eighteenth  century,  "  Romance  .  .  .  grew  to  be  a  favorite  mode  of 
composition  with  those  whose  enthusiasm  for  nature  found  no  vent  in 
any  of  the  older  existing  forms :  for  it  was  exempt  from  all  those  fetters 
that  cramped  aspiring  effort  in  other  departments  of  poetry.  .  .  .  Ro- 
mance became  in  the  hands  of  these  men  of  genius  exactly  what  each 
of  them  wished."  (Translation  in  Bohn  Library.)  —  Elsewhere  he  calls 
the  novel  "  the  highest  reach  and  the  sum  of  all  poetry,  the  ideal  and 
typical  romantic  form."  See  also  his  essays  on  Boccaccio,  Goethe's 
works,  etc.;  and  S.,  III.,  p.  401. 

Solger.  —  Vorlesungen  iiber  Aesthetik.  (1829.)  An  example  of  the  early 
treatment  of  the  novel  in  German  aesthetics.  Definition  of  the  novel  as 
a  form  of  epic  ;  relations  of  novel,  short  story,  etc.  The  romantic  con- 
ception of  the  free  form  of  the  novel  is  embodied  in  the  quotation  given 
under  "  lyrical "  in  the  Glossary  of  this  Appendix. 

Schopenhauer.  —  Some  interesting  references  to  the  novel  in  his  literary 

essays.    See  S.,  III.,  p.  566  ff. 
See  S.,111.,  on  Heine  and  Tieck. 

RUSSIAN 

The  movement  from  romanticism,  through  realism,  to  naturalism  may  be 

suggested  by  these  three  citations :  — 

Karamzin,  —  an  admirer  and  imitator  of  Sterne,  defined  the  aim  of  art  in 
some  such  words  as  these  :  "to  pour  forth  floods  of  emotion  on  the 
realm  of  the  sentimental." 

Gogol  —  speaks  of  his  realistic  method  as  follows :  "  Pushkin  .  .  .  used  to  say 
that  no  author  had,  as  much  as  I,  the  gift  of  showing  the  reality  of  the 
trivialities  of  life,  of  describing  the  petty  ways  of  an  insignificant  creature, 
of  bringing  out  and  revealing  to  my  readers  infinitesimal  details  which 
would  otherwise  pass  unnoticed.  In  fact,  there  is  where  my  talent  lies. 
The  reader  revolts  against  the  meanness  and  baseness  of  my  heroes.  .  .  . 
They  would  have  forgiven  me  if  I  had  described  some  picturesque  theatrical 
knave,  but  they  cannot  forgive  my  vulgarity.  The  Russians  are  shocked 
to  see  their  own  insignificance."  (Letter,  quoted  in  Pardo  Bazan, 
p.  201.) 

Byelinski.  (181 1-48.)  —  "  Nature  is  the  eternal  model  of  art,  and  the  greatest 
and  noblest  subject  in  nature  is  man.  ...  Is  not  for  the  anatomist  and 


HISTORY   OF   NOVELIST1C  CRITICISM  301 

physiologist  the  organism  of  a  wild  Australian  as  interesting  as  the  or- 
ganism of  an  enlightened  European  ?  For  what  reason  should  art,  in 
this  respect,  differ  so  much  from  science,"  etc.  (Quoted  in  Wiener,  II., 
p.  206.) 


THE   SECOND   HALF   OF  THE   NINETEENTH 
CENTURY  i 

In  this  period,  one  notices  first  the  greatly  increased  amount 
of  criticism  of  prose  fiction,  and  the  even  more  significant  fact 
that  few  of  the  great  critics  have  failed  to  make  some  contribution. 
Serious  consideration  of  the  novel  becomes  common  in  works  of 
general  criticism,  in  aesthetics,  and  in  all  domains  of  literary  history. 
German  criticism  has  probably  done  most  for  technical  study,  and 
perhaps  for  detailed  historical  investigation  ;  French  criticism  has 
applied  its  fondness  for  formulas,  and  its  clear,  rapid  examination 
of  problems,  to  the  field  of  the  novel.  While  many  critics  now 
consider  the  novel  as  one  of  the  highest  forms  of  art,  dissenting 
voices  may  still  be  heard. 

Viewed  as  accompanying  the  creative  movement,  criticism  is  at 
first  mainly  realistic,  then  naturalistic,  then  reactionary  in  the 
direction  of  a  new  idealism,  or  neo-romanticism. 

A  few  further  aspects  may  be  noted  :  The  considerable  number 
of  extended  works  in  the  history  of  national  fiction  ;  works  on  the 
art  of  fiction  by  novelists  or  others,  intended  for  practical  guidance 
to  beginners  ;  the  increased  number  of  monographs  of  all  varieties 
in  this  field ;  fresh  consideration  of  fiction  in  the  light  of  new 
sociological,  psychological,  and  ethical  views;  increased  attention 
to  the  short  story  as  a  distinct  type;  work  in  the  educational 
domain  —  university  theses,  edited  masterpieces,  pamphlets,  and 
books  for  the  systematic  study  of  fiction,  syllabi  of  lecture  courses 
etc. 

AMERICAN 

Garland,  Hamlin.  —  Crumbling  Idols.    The  "  new  spirit "  of  American  realism 
appears  in  vigorous  fashion.    There  is  much  general  reference  to  the 


302  APPENDIX 

novel,  exposition  and  defense  of  "veritism,"  consideration  of  "local 
color,"  and  a  striking  theory  of  "  the  local  novel." 

Hawthorne.  —  Notes  on  his  sources,  method,  etc.  — Preface  of  The  House  of 
the  Seven  Gables,  on  the  nature  of  romance. 

Howells. — Criticism  and  Fiction. — My  Literary  Passions.  —  Heroines  of 
Fiction.  —  Magazine  editorials.  —  In  general,  exposition  and  defense  of 
the  realistic  position,  with  special  interest  in  continental  realism,  including 
Russian. 

James,  Henry.  •<—  Periodical  articles.  —  Hawthorne.  —  French  Poets  and 
Novelists.  — The  Art  of  Fiction.  "The  analogy  between  the  art  of  the 
painter  and  the  art  of  the  novelist,  is,  so  far  as  I  am  able  to  see,  complete. 
A  novel  being  a  picture  .  .  .  how  can  a  picture  be  either  moral  or  im- 
moral ?  "  — "  The  only  reason  for  the  existence  of  a  novel  is  that  it  does 
compete  with  life. "  —  "The  air  of  reality  (solidity  of  specification)  seems 
to  me  the  supreme  virtue  of  a  novel."  Cf.  Stevenson,  below.  See  also 
under  "  impression,"  in  Glossary. 

Lanier.  — There  is  severe  criticism  of  his  English  Novel  in  S.,  III.,  p.  643. 

Mabie,  H.  M.  —  has  given  some  attention  to  fiction. 

Matthews,  Brander.  —  Theoretical,  technical,  and  historical  criticism. 
Special  exposition  of  the  short  story,  as  an  independent  type. 

See  the  Bibliography,  under  C.  S.  Baldwin  —  Barrett  —  Burton  —  Canby  — 
Chandler  —  Cody  —  Cook  —  Crawford  —  Crawshaw  —  Cross  —  David- 
son —  Dixson  —  Dye  —  Forsyth  —  Hammond  —  Lewis  —  MacClintock  — 
Moulton  —  Nettleton  —  Frank  Norris  —  Perry  —  Scudder  —  Simonds  — 
L.  W.  Smith  —  Stoddard  —  Thompson  —  Tuckerman  —  Van  der  Velde 
—  Warren. 

ENGLISH 

Dallas.  —  May  be  noted  for  a  low  opinion  of  the  novel  at  a  late  date.    The 

"  novel  is  but  a  fictitious  biography."  ..."  A  novel  may  be  described 

as  gossip  etherealized,  family  talk  generalized." 
Dowden  —  has  given  special   attention  to  George   Eliot  and  to  Goethe,  in 

various  essays  and  studies  ;   some  attention  to  the  novel  in  the  French 

Revolution,  and  the  History  of  French  Literature. 
Eliot,  George.  —  A  vigorous  defense  of  realism  in  the  preface  of  Adam  Bede; 

essays  on  Story-Telling,  Lady  Novelists,  Silly  Novels  by  Lady  Novelists; 

and  material  for  study  of  her  own  work  in  Cross's  Life. 
Gosse  —  has  made  something  of  a  specialty  of  the  novel,  discussing  theory 

as  well  as  history.  —  Northern  Studies.  —  Questions  at  Issue.  —  In  his 

history  of  Eighteenth  Century  English  Literature  he  gives  a  good  account 


HISTORY  OF  NOVELISTIC  CRITICISM  303 

of  the  rise  of  the  novel.  —  Also  note  his  numerous  introductions  to  trans- 
lations  of  continental  novels  —  Dutch,  Scandinavian,  Spanish,  etc. 

Hardy,  Thomas.  —  Prefaces  of  Return  of  the  Native,  Mayor  of  Casterbridge, 
A  Pair  of  Blue  Eyes,  and  Jude  the  Obscure.  In  the  last,  he  gives  this 
realistic,  impressionistic  statement :  "  Like  former  productions  of  this  pen, 
Jude  the  Obscure  is  simply  an  endeavor  to  give  shape  and  coherence  to  a 
series  of  seemings,  of  personal  impressions,  the  question  of  their  con- 
sistency or  their  discordance,  of  their  permanence  or  their  transitoriness, 
being  regarded  as  not  of  the  first  moment." 

Helps.  —  See  S. 

Meredith,  George.  —  The  prelude  of  The  Egoist  is  a  defense  of  satire  in  art, 
especially  in  fiction.  Cf.  the  Essay  on  Comedy.  —  Chapter  I  of  Diana  of 
the  Crossways  touches  the  relation  of  fiction  to  philosophy. 

Ruskin.  —  Characteristic  reference  to  fiction  in  many  passages.  —  Attack  on 
realism  in  Fiction,  Fair  and  Foul. — Consideration  of  Scott  in  Part  IV., 
Chapters  16  and  17,  and  incidental  mention  of  other  novelists,  in  Modern 
Painters.  —  Comment  on  fiction  in  Fors,  especially  Letter  31  and  follow- 
ing, on  Scott.  "Of  the  four  great  English  tale-tellers  whose  dynasti.-s 
have  set  or  risen  within  my  own  memory  —  Miss  Edgeworth,  Scott, 
Dickens,  and  Thackeray  —  I  find  myself  greatly  at  pause  in  conjecturing, 
however  dimly,  what  essential  good  has  been  effected  by  them,  though 
they  all  had  the  best  intentions.  Of  the  essential  mischief  done  by  them, 
there  is,  unhappily,  no  doubt  whatever."  Cf.  Carlyle  and  Newman,  above. 

Saintsbury  —  has  been  a  wide  reader  of  fiction,  as  of  most  forms  of  litera- 
ture, and  has  recorded  many  of  his  impressions.  —  French  Novelists.  — 
Corrected  Impressions. — Volumes  in  the  history  of  English  literature, 
and  in  Periods  of  European  Literature.  —  Miscellaneous  essays.  —  Edi- 
torial introductions  to  the  novels  of  Balzac,  Defoe,  Fielding,  and  others. 

Stevenson.  —  His  criticism  is  partly  an  expression  of  the  neo-romanticism  of 
the  closing  decades  of  the  century.  See  passages  in  his  letters,  and  the 
essays,  A  Gossip  on  a  Novel  of  Dumas',  A  Gossip  on  Romance,  Victor 
Hugo's  Romances,  and  A  Humble  Remonstrance.  The  last  is  directed 
in  part  against  the  Art  of  Fiction,  by  Henry  James.  (See  above.)  "The 
novel,  which  is  a  work  of  art,  exists,  not  by  its  resemblances  to  life  .  .  . 
but  by  its  immeasurable  difference  from  life,  which  is  designed  and  sig- 
nificant, and  is  both  the  method  and  material  of  the  work." 

Traill,  H.  D.  —  See  S.,  III. 

Trollope,  Anthony. — The  Autobiography  contains,  besides  much  mate-rial 
on  his  own  fiction,  a  chapter  on  Novels  and  the  Art  of  Writing  Them, 
and  a  chapter  on  English  Novelists  of  the  Present  Day.  The  first  of 
these  opens  with  the  statement,  "  It  is  nearly  twenty  years  since  I  pro- 


304  APPENDIX 

posed  to  myself  to  write  a  history  of  English  prose  fiction."  It  is  interest- 
ing to  note  that  this  time  coincides  with  the  date  of  Masson's  work  — 
the  first  important  history  of  English  fiction. 

See  the  Bibliography,  under  Baker  —  Besant  —  Jack  —  Ker  —  Masson  —  W. 
E.  Norris  —  Raleigh  —  Robertson  —  Senior  —  Turner — Wilson  —  Wors- 
fold. 

FRENCH 

Bourget.  —  Criticism  of  French  novelists  in  Etudes  de  Psychologic  Contempo- 
raine,  and  in  Etudes  et  Portraits. 

Brunetidre.  —  Many  separate  studies  in  Etudes  Critiques,  Questions  de  Cri- 
tique, Essais  sur  la  Litterature  Contemporaine.  —  Victor  Hugo.  — 
Notable  attention  in  the  Manual  of  French  Literature.  —  Le  Roman 
Naturaliste  is  probably  one  of  the  best  five  or  six  volumes  of  aesthetic 
criticism  in  the  whole  field  of  the  novel,  for  the  average  student.  It  was 
"  largely  instrumental  in  hastening  the  end  of  naturalism."  (Kastner 
and  Atkins.)  Of  the  novel  he  says  :  "  nul  autre  genre  ne  se  prete  plus 
complaisamment  a  des  exigences  plus  diverses."  "  Par  Pimprevu  de  ses 
combinaisonsinfinies,  par  la  variete  des  formes  qu'il  peut  presque  indifferem- 
ment  revStir,  par  la  liberte  de  son  allure  et  1'universalite  de  sa  langue,  il 
convient  particulierement  a  nos  societes  democratiques."  —  Of  historical 
romance  :  "  ni  du  roman  ni  de  1'histoire,  ou  plutot  qui  sera  de  1'histoire 
si  vous  y  cherchez  le  roman,  mais  qui  redeviendra  du  roman  si  vous  y 
cherchez  de  1'histoire." 

Lemaitre.  —  Impressions  de  Theatre.  Contains  notices  of  dramatizations  of 
Pere  Goriot,  Crime  and  Punishment,  and  Germinie  Lacerteux. 

Montegut.  —  Dramaturges  et  Romanciers.  —  Ecrivains  Modernes  de  1'Angle- 
terre  is  largely  upon  novelists.  —  See  also  S. 

Pellissier.  —  The  following  may  be  quoted  as  a  representative  recent  view  of 
the  novel  by  an  historian  of  general  literary  movements :  "  Tenu  par  les 
anciens  et  mSme  par  notre  Sge  classique  pour  un  divertissement  frivole, 
le  roman  avait  echappe"  ainsi  aux  definitions  et  aux  regies  d'une  critique 
que  ne  daignait  pas  s'en  occuper.  II  n'y  a  guere  plus  de  cinquante  ans, 
Villemain  osait  a  peine  le  faire  entrer  dans  1'histoire  litteraire,  et  ne  1'admet- 
tait  du  moins  qu'en  langue  grecque.  La  nature  meme  du  genre  se  prStait 
d'ailleurs  a  tous  les  sujets  et  a  tous  les  tons  ;  aussi,  favorise  par  les  con- 
ditions sociales,  devait-il  en  notre  temps  prendre  les  formes  les  plus 
diverses  et  refleter  les  multiples  aspects  de  1'dme  mod  erne.  Et,  s'il  n'est 
au  XIXC  siecle  aucun  sentiment,  aucune  idee,  qui  n'y  trouve  son  expres- 
sion, il  n'est  aucune  ecole  de  quelque  importance  qui  n'ait  tente  d'en 
renouveler  la  formule  d'apres  ses  vues  particulieres,  aucune  conception 


HISTORY   OF   NOVELISTIC   CRITICISM  305 

de  1'art  &  laquelle  il  ne  se  soit  accommode*.  II  avail  etc  d'abord  une 
effusion  de  sensibilite  personnelle.  II  s'appliqua  ensuite  a  faire  revivre 
les  siecles  passes  dans  leurs  personnages,  leurs  moeurs  et  leurs  costumes. 
Quittant  1'histoire  pour  la  societe  contemporaine,  il  se  divisa  cnfin, 
sans  sortir  de  ce  cadre  mSme,  en  deux  genres  bien  distincts  et  repondant 
a  deux  tendances  irreductibles  de  1'esprit :  les  uns,  regardant  la  vie 
reelle  a  travers  leur  imagination  Uprise  de  beaute,  de  vertu,  de  bonheur, 
en  rendirent  un  tableau  toujours  idealise  dans  sa  verite  me"me  ;  les  autres, 
armes  d'une  analyse  sagace  et  penetrante,  s'etudierent  a  la  voir  tclle 
qu'elle  est  et  a  la  representer  telle  qu'ils  1'avaient  vue."  (Fourth  edition, 
Paris,  1895,  P-  232.) 

Paris,  Gaston.  —  Important  for  medieval  fiction. 

Sand,  George.  —  Prefaces  to  several  novels. 

Scherer,  Edmond.  —  One  of  the  chief  critics  of  George  Eliot  in  France.  Cf. 
Le  Roman  Naturaliste :  Le  Naturalisme  Anglais,  Etude  sur  George  Eliot. 
See  pp.  205  and  206  of  the  present  volume. 

Taine.  — "  He  undoubtedly  gave  considerable  impetus  to  the  Naturalistic 
movement,  but  it  is  entirely  unfair  to  make  him  responsible  for  its 
exaggerations  and  excesses."  (Kastner  and  Atkins.)  Cf.  Lanson, 
p.  1060. 

V6ron.  —  "  It  has  been  the  fashion  for  the  last  fifty  years  to  abuse  novels 
on  every  opportunity.  Would-be  serious  criticism  looks  down  upon  them 
as  beneath  its  notice,"  etc.  Against  such  a  view  Veron  affirms  the 
"  poetic  character  "  of  the  novel. 

Vogue",  de.  —  "The  Neo-Christian  movement  [is  due]  in  great  measure  to  his 
critical  studies  on  the  great  Russian  novelists."  (Kastner  and  Atkins.) 

Zola.  —  Brunetiere's  Roman  Naturaliste  is  in  part  an  answer  to  his  theories 
as  well  as  practise.  See  S.,  and  many  monographs  and  essays. 

See  S.  on  Amiel,  Barbey  d'Aurevilly,  Baudelaire,  Doudan,  Flaubert, 
Gautier,  the  Goncourt  brothers,  Planche,  Texte,  etc. 

See  Bibliography,  under  Albert  —  Chassang  —  Do umic  —  Gilbert  —  Guyau  — 
Jusserand  —  Lanson  —  Le  Breton  —  Le  Goffic  —  Maigron  —  Morillot — 
Rocafort  —  Texte. 

GERMAN 

Baumgart.  — "  Der  Prosaroman  ist  viel  zu  fest  an  die  Detaildarstellung 
gebunden,  als  dass  er  jemals  sich  ganz  zu  der  Hohe  des  Epos  erheben 
konnte,  wo  —  das  Kennzeichen  aller  echten  Poesie  —  die  Darstellung 
des  Besondern  in  lebendigster  Gegenwartigkeit  zugleich  mit  der 
Wirklichkeit  wetteifert  und  doch  uberall  das  Allgemeine  in  sich 
»chliesst."  (p.  315.) 


306  APPENDIX 

Beyer,  C.  —  Deutsche  Poetik.  About  fifty  pages  are  given  to  the  novel  — 
a  good  example  of  its  treatment  in  later  German  poetics.  "  Der  Roman 
ist  das  Prosaepos  der  Gegenwart  .  .  .  jene  umfangreiche  Prosa-Erzahlung, 
welche  Entwickelungsgang  und  Geschick  eines  Helden  vom  ersten  Ahnen 
oder  Beginnen  seines  Strebens  bis  zu  einem  gewissen  Abschluss  einer 
Reihe  von  Begebenheiten  (bis  zur  Erreichung  eines  Zieles  oder  bis  zur 
Sichtbarwerdung  der  poetischen  Gerechtigkeit,  d.  i.  der  Vollendung  der 
poetischen  Idee)  in  abgerundeter  Form  und  poetischer,  das  wirkliche 
Leben  und  den  jeweiligen  Charakter  der  Zeit  wiederspiegelnder  Weise 
darstellt.  Mit  andern  Worten  :  der  Roman  bietet  die  poetische  Ge- 
staltung  eines  individuellen,  einheitlich  bestimmten  bedeutenden  Lebens 
in  der  Form  geschichtlicher  Erscheinung ;  die  Spiegelung  dieses  Lebens 
mit  seinen  sittlichen  Hohen  und  Tiefen ;  das  Bild  dieses  durch  Erfah- 
rung  gereiften,  durch  Gefahren  erprobten,  zuletzt  zu  einem  sichern  Stand- 
punkt  gelangten  Lebens,  wie  es  beispielsweise  bei  der  homerischen 
Erzahlung  der  Irrfahrten  des  Odysseus  entgegentritt."  (Third  edition, 
Berlin,  1900,  II.,  p.  347.) 

Borinski.  —  Interesting  as  an  example  of  the  study  of  the  theory  of  the  novel 
in  the  general  history  of  criticism. 

Brandes  —  discusses  a  number  of  novelists  in  Moderne  Geister  and  Menschen 
und  Werke,  as  well  as  in  Hauptstromungen.  In  the  last  work  he  treats 
the  "  historical  and  ethnographical  naturalism "  of  Scott  at  some 
length. 

Carrie" re.  —  Aesthetik.  (1885.)  "Die  Poesie  hat  sich  ins  Gemiith  gefliichtet, 
die  Entwickelung  der  Individuality  in  einer  vielfach  widersprechenden 
prosaischen  Welt  verlangt  nun  ihre  kiinstlerische  Wiedergeburt,  und 
diese  ist  der  Roman." 

Freytag.  —  The  analysis  of  plot  in  the  Technik  des  Romans  has  been  applied 
to  the  novel  by  various  critics.  —  Some  theory  and  technic  in  the  essay 
on  Wilibald  Alexis.  —  Preface  to  Soil  und  Haben.  "  Dem  Schonen  in 
edelster  Form  den  hochsten  Ausdruck  zu  geben,  ist  nicht  jeder  Zeit  ver- 
gonnt,  aber  in  jeder  soil  der  erfindende  Schriftsteller  wahr  sein  gegen 
seine  Kunst  und  gegen  sein  Volk.  .  .  .  Gliicklich  werde  ich  sein,  wenn 
.  .  .  dieser  Roman  den  Eindruck  macht,  dass  er  wahr  nach  den  Gesetzen 
des  Lebens  und  der  Dichtkunst  erfunden  und  doch  niemals  zufalligen 
Ereignissen  der  Wirklichkeit  nachgeschrieben  ist." 

Ludwig. — The  novel  "verlangt  erstens  Ruhe,  Abwcisen  jeder  Art  Ungeduld, 
zweitens  je  grosser,  d.,  h.,  langer,  reicher  er  ist,  desto  mehr  eine  gewisse 
Ausserlichkeit.  .  .  .  Eine  Hauptkunst  des  Romanschreibers  ist  ferner  das 
Arrangement,  das  Verschweigen  von  Dingen,  die  man  gern  wissen 
mochte,  das  Zeigen  von  Personen  und  Dingen,  deren  Verhaltniss  zum 


HISTORY  OF  NOVELISTIC  CRITICISM  307 

Ganzen  noch  unbekannt,  das  Ahbrechen,  das  Verschlingen,  das  Ver- 
bergen  des  Innern  hinter  dem  Aussern,  der  Absichten  der  Personen." 

Meyer.  —  Konversations-Lexikon.  "  Das  eigentlich  Charakteristische  des  Ro- 
mans im  heutigen  Sinne  dieses  Wortes,  besteht  clarin,  dass  der  Roman  in 
hoherm  Grade  und  in  umfassenderer  Weise  als  jede  andre,  auch  jede  andre 
epische  Dichtungsart,  auf  die  analysierende  Darstellung  des  vielver- 
schlungenen  Getriebes  des  seelischen  Lebens  und  seiner  innern  Geschichte 
gerichtet  ist,  oder  mit  einem  Worte  :  in  seinem  eminent  psychologischen 
Charakter.  Steht  dem  Drama  besonders  nahe."  (Fifth  edition,  1896.) 

Nietzsche.  — SeeS.,  III. 

Nordau,  Max.  —  Cf.  the  treatment  of  Tolstoi  and  Zola  as  degenerates,  with 
Robiati  and  Merejkowski.  —  Chapters  in  Paradoxes,  on  The  Import  of 
Fiction,  etc. 

Riemann.  —  One  of  the  most  suggestive  volumes  of  recent  criticism  in  the 
field  of  the  novel.  See  p.  267  of  this  Appendix. 

Scherer,  W.  —  Kleine  Schriften,  II.  Includes  essays  on  George  Eliot,  Auer- 
bach,  etc.,  and  on  technic  of  the  modern  short  story.  See  Bibliography. 

Spielhagen.  —  In  addition  to  volumes  given  in  the  Bibliography,  there  are 
chapters  in  Aus  Meiner  Studienmappe  on  Auerbach,  Bjornson,  and  Feuil- 
let.  This  contribution  to  the  much-discussed  relation  of  drama  to  novel 
may  be  quoted  :  "  Der  Roman  ist  in  jeder  Beziehung  des  Stoffes,  der 
Oekonomie,  der  Mittel,  ja  selbst,  subjectiv,  in  Hinsicht  der  Qualitat  der 
poetischen  Phantasie  und  dichterischen  Begabung,  der  voile  Gegensatz 
des  Dramas." 

Schmidt,  Erich.  —  Richardson,  Rousseau  und  Goethe.  —  Charakteristiken 
also  contains  much  on  novelists. 

See  the  Bibliography,  under  Bobertag  —  Bolsche  —  Braitmaier  —  Cholevius  — 
Eichendorff  —  Gottschall  —  Heyse  —  Koberstein  —  Korting  —  Kreyssig 
—  Mielke  —  Reborn  —  Rohde  —  Volkelt. 

ITALIAN 

d'  Annunzio.  —  The  preface  of  II  Trionfo  della  Morte  is  interesting  as  show- 
ing the  Italian  traditions  of  language,  and  the  fine  sense  of  art. 

Robiati.  —  His  critical  theory  is  distinct  if  not  original  :  "  Per  me  la  critica 
ha  P  ufficio  di  studiare  il  movimento  del  pensiero  di  un  popolo  .  .  . 
studiare  1'  opera  d'  arte  non  in  se,  ma  come  segno  di  una  data  epoca,  di 
un  determinato  periodo  storico."  For  each  of  the  principal  novelists 
studied  he  has  a  formula  :  "In  Verga  ho  studiato  lo  sviluppo  del  ro- 
manzo  naturalista  da  noi ;  in  Rovetta  una  nuova  forma  di  pessimismo ; 
in  Fogazzaro  1'  influenza  germanica  presso  di  noi ;  in  Ottone  di  Banzole 


308  APPENDIX 

1*  arte  di  decadenza."  He  defines  the  naturalistic  novel  as  one  "  che 
cerca  le  leggi  matematiche  con  cui  un  individuo  od  un  gruppo  sociale 
agisce  o  deve  agire  in  date  circonstanze,  in  determinati  ambienti."  See 
also  p.  189  of  the  present  volume. 

Verga.  —  The  novel  is  "la  piu  completa  e  la  piu  umana  delle  opere  d'  arte." 
See  also  Section  129. 

RUSSIAN 

Gorki  —  gives  a  severe  criticism  of  realism,  with  some  reference  to  his  own 

work,  in  Poet-Lore,  summer,  1904. 
Merejkowski.  —  The  volume  given  in  the  Bibliography  is  one  of  the  ablest 

and  most  stimulating  criticisms  of  Dostoyevsky,  Pushkin,  and  Tolstoi, 

accessible  in  English.     In  a  sense  it  is  a  review  of  the  major  tendencies 

of  Russian  fiction  throughout  the  century. 
Tolstoi.  —  What  is  Art,  while  not  directly  on  the  novel,  is  of  large  interest 

to  the  student  of  that  form  of  art.  —  Preface  to  edition  of  Maupassant. 

SPANISH 

Pardo  Bazan,  Emilia.  —  Fiction  is  considered  in  the  volume  on  Russian 
literature  and  life.  The  influence  of  Russian  naturalism  on  French 
and  Spanish  fiction,  etc.  —  Discussion  of  realism  and  naturalism  in 
several  other  critical  works. 

Vald6s.  —  Los  Novelistas  Espafioles.  Brief  chapters  on  Alarcon,  Galdds, 
Valera,  etc. 

Valera.  —  Royal  Academy  addresses  on  Amadis  of  Gaul,  Don  Quixote  and 
methods  of  judging  it. —  Preface  to  later  editions  of  Pepita  Jimenez. — 
Nuevo  Arte  de  Escribir  Novelas. 


V.   BIBLIOGRAPHY  AND   REFERENCES 

THE  following  list  includes  :  — 

I.   Some  works  mentioned  elsewhere  in  this  volume  without  sufficient 

bibliographical  clearness. 
II.  A  few  important  references  in  the  fields  of, 

1.  The  theory  and  technic  of  fiction,  including  the  short  story,  as 

that  is  usually  discussed  in  comparison  with  the  novel ; 

2.  The  study  or  methodical  criticism  of  fiction  ; 

3.  The  history  of  European  fiction,  in  large  areas,  and  when  it  is  the 

principal  subject  of  a  work ; 

4.  The  history  of  theory. 

III.  A  few  other  works  of  such  nature  as  to  be  of  special  value  in  connec- 
tion with  the  above  interests. 

Suggestion  for  much  more  extensive  reading  is  given  in  the  Notes  on  the 
History  of  Novelistic  Criticism.  In  the  present  list,  a  f  indicates  that  the 
author  (not  always  the  individual  work)  is  mentioned  in  those  Notes.  A  * 
has  been  placed  before  those  works  which  are  entirely  or  mainly  concerned 
with  fiction. 

ALBERT,  PAUL  :   La  Prose.    Paris,  1887. 
About  20  pages  on  the  novel. 

*  BAKER,  E.  A. :   A  Descriptive  Guide  to  the  Best  Fiction.     London,  1903. 

Limited  to  English  originals  and  translations. 

BALDWIN,  J.  M.  (editor)  :    Dictionary  of  Philosophy  and  Psychology.    Three 
vols.,N.Y.,  1901-03. 

Defines  or  discusses  many  aesthetic,  ethical,  psychological,  and  socio- 
logical terms  found  in  the  criticism  of  fiction. 
(References  elsewhere  are  to  this  work.) 

*  BALDWIN,  C.  S. :    American  Short  Stories.    N.Y.,  1904. 

Selections  ;  with  introductory  essay  on  the  short  story. 

*  BARRETT,  C.  R.:    Short  Story  Writing.     N.Y.,  1900. 

Theory  ;  technic  ;   classification,  etc. 
tBAUMGART,  H.:    Handbuch  der  Poetik.     Stuttgart,  1887. 

309 


310  APPENDIX 

*  BESANT,  WALTER  :  The  Art  of  Fiction.    London,  1884. 

A  brief  work  on  the  theory,  "laws,"  and  technic  of  the  novel  as  a 
form  of  art ;  from  a  novelist's  point  of  view. 

BETZ,  L.  P.:    La  Litterature  Comparee.      Essai  Bibliographique.      2d  ed., 
Strassburg,  1904. 

Lists  many  studies  in  the  international  relations  of  fiction, 
f  BEYER,  C. :   Deutsche  Poetik.     3d  ed.,  three  vols.,  Berlin,  1900. 

*  BOBERTAG,  F. :   Geschichte  des  Romans  und  der  ihm  verwandten  Dichtungs- 

gattungen  in  Deutschland.     Two  vols.,  Berlin,  1877-84. 
BOLSCHE,  W. :    Die   naturwissenschaftlichen   Grundlagen  der  Poesie.     Pro- 
legomena einer  realistischen  Aesthetik.     Leipzig,  1887. 

Consideration  of  Zola  is  included, 
f  BORINSKI,  K. :    Die  Poetik  der  Renaissance.     Berlin,  1886. 

About  30  pages  on  the  novel. 

BRAITMAIER,  F. :    Geschichte  der  poetischen  Theorie  und  Kritik  von  den 
Diskursen  der  Maler  bis  auf  Lessing.     Two  vols.,  Frauenfeld,  1888-89. 

A  little  discussion  of  the  novel. 

fBRANDES,  GEORG:    Die  Hauptstromungen  der  Litteratur  des  igten  Jahr- 
hunderts.     5th  ed.,  six  vols.,  Berlin,  1897.     Translated  from  the  Danish. 
English  translation,  N.Y.  and  London,  six  vols.,  1901-05. 
BRAY,  J.  W. :    History  of  English  Critical  Terms.     Boston,  1898. 

Valuable  within  its  field ;  but  "  critical "  is  understood  as  judicial,  and 
there  is  no  consideration  of  strictly  technical  terms. 
f* BRUNETIERE,  F.:    Le  Roman  Naturaliste.     New  ed.,  1893. 

Broad  aesthetic  and  ethical  criticism  of  realism,  naturalism,  impres- 
sionism, the  experimental  novel,  etc.  Illustration  chiefly  from  French 
fiction,  with  an  essay  on  "Le  Naturalisme  Anglais:  Etude  sur  George 
Eliot." 

(References  elsewhere  are  to  this  work.) 
BRUNETIERE,  F. :    L'Evolution  des  Genres.     1890. 

*  BURTON,  RICHARD  :    Forces  in  Fiction.    Boston,  1902. 
BURTON,  RICHARD  :   Literary  Likings.    Boston,  1898.     (1903.) 

Besides  criticisms  of  individual  novelists,  includes  four  essays  on  gen- 
eral "  Phases  of  Fiction." 
*CANBY,  H.  S.:   The  Short  Story.    N.Y.,  1902. 

A  pamphlet ;  mainly  theoretical.  Revised  as  the  Introduction  to 
Jessup  and  Canby's  Book  of  the  Short  Story.  N.Y.  and  London,  1903. 

*  CHANDLER,  F.  W. :    Romances  of  Roguery.     Vol.  L,  N.Y.,  1899. 

Mainly  historical  research  in  the  Spanish  field. 

*  CHASSANG,  M.  A. :   Histoire  du  Roman  et  de  ses  Rapports  avec  PHistoire. 

1862. 


BIBLIOGRAPHY   AND   REFERENCES  311 

*CHOLEVIUS,  L. :   Die  bedeutendsten  deutschen  Romane  des  lytcn  Jahr- 
hunderts.     Leipzig,  1866. 

*  [CODY,  SHERMAN]  :    How  to  Write  Fiction.     Especially  the  Art  of  Short 

Story  Writing.     London,  1895. 

A  defense  and  exposition  of  technical  method. 

*  COOK,  MAY  E. :    Methods  of  Teaching  Novels.    Chicago,  n.  cL 

A  pamphlet  for  secondary  schools. 

*  CRAWFORD,  F.  M. :   The  Novel :  What  It  is.    N.Y.,  1903. 
CRAWSHAW,  W.  H. :   The  Interpretation  of  Literature.    N.Y.,  1896. 

Pedagogical ;  special  outlines  for  the  study  of  the  main  types  of  litera- 
ture. See  p.  267  of  this  Appendix* 

*  CROSS,  W.  L. :   The  Development  of  the  English  Novel.    N.Y.,  1899. 

A  standard  work,  covering  the  entire  history  of  the  English  novel, 
conceived  as  an  evolution  d'un  genre.  Cf.  Stoddard.  Much  material 
on  the  form  of  the  novel. 

t  DALLAS,  E.  S. :   The  Gay  Science.     [Criticism.]     Two  vols.,  London,  1866. 
A  chapter  on  the  novel. 

*  DAVIDSON,  HARRIET  A. :  The  Study  of  Ivanhoe;  —  Romola;  —  Silas  Marner, 

etc.     Albany,  and  in  some  cases,  N.Y. 
Suggestive  analytical  pamphlets. 

*  DAVIDSON,   HARRIET  A.:     The  Creative  Art   of   Fiction.      (Pamphlet.) 

Albany. 

*DixsoN,  ZELLA  A.:    Subject-Index    to  Universal  Prose   Fiction.     N.Y., 
1897. 

*  DOUMIC,  RENE  :   Contemporary  French  Novelists.    N.Y.,  1899.    Translated 

from  the  French. 

t*DuNLOP,  J.  C.:    History  of  Prose  Fiction.     London,  1814.     Revised  ed., 
with  important  additions,  two  vols.,  London,  1888. 
See  p.  266  in  this  Appendix. 

*  DYE,  CHARITY  :  The  Story-Teller's  Art.    Boston,  1898. 

A  brief  analytical  treatise  for  secondary  schools. 
* EICHENDORFF,  J.  VON:    Der  deutsche  Roman  des  iSten  Jahrhunderts  in 

seinem  Verhaltnis  zum  Christentum.     Leipzig,  1857. 
FITZMAURICE-KELLY,  J  :    History  of  Spanish  Literature.    N.Y.,  1898. 

*  FORSYTH,  WM. :  Novels  and  Novelists  of  the  i8th  Century.     In  Illustration 

of  the  Manners  and  Morals  of  the  Age.     N.Y.,  1871. 
fFREYTAG,  GUSTAV  :    Die  Technik  des  Dramas.      1863.     8th  ed.,  Leipzig, 

1898.     English  translation,  Chicago,  1895. 
GARDINER,  J.  H.  :    Forms  of  Prose  Literature.     N.  Y.,  1900. 
t  GARLAND,  HAMLIN  :  Crumbling  Idols.    Chicago,  1894. 
GARNETT,  RICHARD  :   History  of  Italian  Literature.     N.Y.,  1898. 


312  APPENDIX 

GAYLEY,  C.  M.,  and  F.  N.  SCOTT  :   Introduction  to  Methods  and  Materials 

of  Literary  Criticism.    Vol.  I.,  Boston,  1899. 
GIDDINGS,  F.  H.  :    Inductive  Sociology.     N.Y.,  1901. 

*  GILBERT,  EUGENE  :    Le  Roman  en  France  pendant  le  XIXe  Siecle.    2d  ed., 

1896. 

GIRARDIN,  SAINT-MARC :  Cours  de  Litterature  Dramatique.   Five  vols.,  1843  S<1' 

Includes  considerable  direct  reference  to  the  novel  —  pastoral  romance, 

heroic  romance,  etc.     The  treatment  of  the  psychology  of  the  drama,  in 

reference  to  love,  jealousy,  suicide,  etc.,  is  applicable  in  part  to  the  novel. 

GOTTSCHALL,  R.  VON  :    Poetik.     5th  ed.,  Breslau,  1882. 

About  30  pages  on  the  novel  and  short  story  ;  classification  of  fiction. 
GUYAU,  M.  :    L'Art  au  Point  de  Vue  Sociologique.     1889. 
Quite  extended  treatment  of  the  novel. 

*  HAMMOND,  ELEANOR  P.  :   Class  Questions  for  Analysis  of  Narrative  Fiction. 

University  of  Chicago,  1899. 

A  pamphlet  of  technical  analysis. 

HAYM,  R.  :    Die  Romantische  Schule.     Berlin,  1870;  reprint,  1902. 
Excellent  on  the  theory  of  the  novel  held  by  the  romanticists. 
HENNEQUIN,  EMILE  :    La  Critique  Scientifique.     1890. 

See  p.  266  in  this  Appendix. 
HEYDRICK,  B.  A. :    How  to  Study  Literature.     3d  ed.,  N.Y.,  1903. 

For  secondary  schools ;  brief  but  sound  analysis  for  the  separate  types 
of  literature. 

*  HEYSE,  PAUL,  and  H.  KURZ  (editors)  :  Deutscher  Novellenschatz. 

Introduction,  on  theory  of  short  story. 

*  HITCHCOCK,  A.  M.  :   How  to  Study  Fiction.     Boston  and  Chicago,  1899. 

A  brief  pamphlet  for  secondary  schools, 
f*  HOWELLS,  W.  D. :    Criticism  and  Fiction.    N.Y.,  1895. 

*  HOWELLS,  W.  D. :  Heroines  of  Fiction.    Two  vols.,  N.Y.  and  London,  1901. 
*JACK,  A.  A.  :    Essays  on  the  Novel  as  Illustrated  by  Scott  and  Miss  Austen. 

London,  1897. 

t* JAMES,  HENRY:   Art  of  Fiction.    Boston,  1885. 
Theory  of  the  novel,  from  a  realistic  position. 

*  JAMES,  HENRY  :   French  Poets  and  Novelists.    N.Y.,  1878.     (1884  ;   1893.) 
JAMES,  WILLIAM  :    Principles  of  Psychology.    Two  vols.,  N.Y.,  1890. 

t  JEITTELES,  IG.  :   Aesthetisches  Lexikon.    Two  vols.,  Vienna,  1835-37. 

*  JUSSERAND,  J.  J.  :    Le  Roman  Anglais.     Origine  et  Formation  des  Grandes 

Fxoles  de  Romanciers  du  XVIIP  Siecle.     1886. 

*  JUSSERAND,  J.  J.  :   The  English  Novel  in  the  Time  of  Shakespeare.    N.Y. 

and  London,  1890.     Translated  from  the  French.    Entertaining  as  well 
as  scholarly. 


BIBLIOGRAPHY   AND   REFERENCES  313 

KASTNER,  L.  E.  and  H.  G.  ATKINS  :    Short  History  of  French  Literature. 

N.Y.,  1901. 
KER,  W.  P.  :    Epic  and  Romance.     London,  1897. 

A  scholarly  consideration  of  the  medieval  transition  from  epic  to  ro- 
mance, in  the  main  viewed  as  a  degeneration,  with  close  analysis  of  both 
types. 

KOBERSTEIN,  A.  :    Grundriss  der  Geschichte  der  deutschen  Nationallitteratur. 
5th  ed.,  5  vols,  Leipzig,  1872-73. 

About  100  pages  on  the  novel  ;  including  theory  of  prose  narration, 
and  particularly  the  iSth  century  theory  of  the  novel,  in  Germany. 

*  KORTING,  C.  :    Geschichte  des  franzosischen  Romans  im  I7ten  Jahrhundcrt. 

Leipzig,  1885-87. 

*  KREYSSIG,  FR.  :   Vorlesungen  iiber  den  deutschen  Roman  der  Gegenwart. 

Berlin,  1871.     (1891.) 

f*  LANIER,  SIDNEY  :   The  English  Novel  and  the  Principles  of  its  Develop- 
ment.   N.Y.,  1883. 

LANSON,  GUSTAVE  :    Histoire  de  la  Litterature  Francaise.     Ed.  of  1901. 
Detailed  critical  discussion  of  types  as  well  as  individual  novelists. 

*  LE  BRETON,  A.  :    Le  Roman  au  XVIIe  Siecle.     1890.     (1898.) 

*  LE  GOFFIC,  CHARLES  :    Les  Romanciers  d'Aujourd'hui.     1890. 
LEVEQUE,  C.  :    La  Science  du  Beau.     1872. 

*  LEWIS,  E.  H.  :   Types  of  American  Fiction.     (Syllabus  of  lecture  course.) 

University  of  Chicago,  1896. 

Presents  a  method  of  analysis,  applied  to  individual  works. 
LOTZE,  H. :  Outlines  of  ^Esthetics.    Translated  and  edited  by  G.  T.  Ladd. 

Boston,  1886. 

f*  LUDWIG,  OTTO  (1813-65)  :  Romanstudien  (one  vol.  in  Schriften,  six  vols.). 
Leipzig,  1891. 

Important  for  theory,  technic,  and  classification. 

*  MACCLINTOCK,  W.  D.  :    Studies  in  Fiction.     (Syllabus  of  lecture  course.) 

University  of  Chicago,  1897. 

Suggestive  and  detailed  ;   quite  technical  analysis. 

*  MAIGRON,  L.  :    Le  Roman  Historique  a  1'Epoque  Romantique.     Essai  sur 

PInfluence  de  Walter  Scott.     1898. 
*MASSON,  DAVID:    British  Novelists  and   Their  Styles.       London,    1856. 

(Boston,   1892.) 

Historical   review   from   Morte    d'Arthur   to   date  of  writing.     Some 

theory  and  technic.     See  p.  266  in  this  Appendix, 
t*  MATTHEWS,  BRANDER  :    Philosophy  of  the  Short   Story.     N.Y.,   1888. 

(1901.) 

*  MATTHEWS,  BRANDER  :  Aspects  of  Fiction.    N.Y.,  1896. 


314  APPENDIX 

*  MATTHEWS,   BRANDER  :    The  Historical  Novel  and  Other  Essays.    N.Y., 

1901. 

Several  essays  on  fiction;  one  on  "The  Study  of  Fiction." 
t  MEREJKOWSKI,  D.  :    Tolstoi  as  Man  and  Artist.     With  an  Essay  on  Dos- 
toievski.     English  translation,  N.Y.  and  London,  1902. 

*  MIELKE,  H.  :    Der   deutsche  Roman  des  iQten   Jahrhunderts.     4th  ed., 

1900. 

"  The  best  work  on  the  [German]  fiction  of  the  century." 
f*  MONTKGUT,  E.  :    Dramaturges  et  Romanciers.     1878.     (1890.) 
MONTEGUT,  E.  :    Ecrivains  Modernes  de  1'Angleterre.    Three  vols.,  1892. 

*  MORILLOT,  PAUL  :    Le  Roman  en  France  depuis  1610  jusqu'a  nos  Jours. 

1893. 

*  MORILLOT,  PAUL:  Scarron  et  le  Genre  Burlesque.     1888. 

MORLEY,  HENRY  :  Character  Writings  of  the  Seventeenth  Century.     London 
andN.Y.,  1891. 

Only  English  works  are  included. 

MOULTON,  C.  W.  (editor)  :   The  Library  of  Literary  Criticism  of  English  and 
American  Authors.     Eight  vols.,  Buffalo,  N.Y.,  1901-04. 

Includes  systematically  arranged  criticisms  of  novels  and  novelists. 

*  MOULTON,  R.  G.  :    Stories  as  a  Mode  of  Thinking.     (Syllabus.)     University 

of  Chicago. 

*  MOULTON,  R.  G.  :.  Four  Vears  of  Novel  Reading.    Boston,  1895. 

A  record  of  literary  club  work.     Introduction  on  the  study  of  fiction. 
MOULTON,  R.  G.  :  Shakespeare  as  a  Dramatic  Artist.     N.Y.,  1885.     (1901.) 

A  defense  and  program  for  systematic  analytical  criticism.     Much  that 
is  applicable,  mutatis  mutandis,  to  the  novel. 

(References  elsewhere  are  to  this  volume.) 
NETTLETON,  G.  H. :  Specimens  of  the  Short  Story.     N.Y.,  1901. 
NICHOL,  JOHN  :  American  Literature.     2d  ed.,  Edinburgh,  1885. 
fNoRDAU,  MAX:  Degeneration.     Translated  from  the  German.    N.Y.,  1895. 
NORDAU,  MAX  :     Paradoxes.     (1885.)     Translated  from  the  German.    Chi- 
cago, 1895. 

*  NORRIS,  FRANK  :  The  Responsibilities  of  the  Novelist  and  Other  Literary 

Essays.     N.Y.,  1903. 

Realistic,  democratic,  and  American  position  ;  defends  technical  study, 
and  includes  a  chapter  on  "The  Mechanics  of  Fiction." 

*  NORRIS,  W.  E.,  and  others  :  On  the  Art  of  Writing  Fiction.     London,  1894. 

Rather  light  essays  on  special  types  and  elements  of  fiction,  by  novelists, 
largely  by  way  of  advice  to  beginners. 

t  PARDO  BAZ/N,  EMILIA  :  Russia ;  its  People  and  its  Literature.    Translated 
from  the  Spanish.     Chicago,  1890. 


BIBLIOGRAPHY  AND  REFERENCES  315 

fPELLissiER,  GEORGES:  The  Literary  Movement  in  France  during  the  Nine- 
teenth Century.    Translated  from  the  French.     N.Y.,  1897. 

*  PERRY,  BLISS  :  A  Study  of  Prose  Fiction.     Boston,  1902. 

The  first  important  work  in  English  on  the  theory,  technic,  and  general 
study  of  fiction,  as  distinct  from  historical  works. 

PHELPS,  WM.   L. :    The  Beginnings  of  the  English  Romantic  Movement. 
Boston,  1893. 

*  RALEIGH,  WALTER  :  The  English  Novel.    N.Y.,  1894. 

An  historical  review  from  Chaucer  to  Waverley. 

*  REHORN,  K.  :  Der  deutsche  Roman  :  Geschichtliche  Ruckblicke  und  kri- 

tische  Streiflichter.     Cologne,  1890. 

f*  RIEMANN,  R.  :  Goethes  Romantechnik.     Leipzig,  1902. 
ROBERTSON,  J.  M.  :  Essays  towards  a  Critical  Method.     Two  vols.  — "  Es- 
says," 1889;  "New  Essays,"  1897;   London. 

On  critical  method  in  general,  and  its  application  to  individual  writers, 
including  Poe  and  W.  D.  Howells. 

f*  ROBIATI,  G. :  II  Romanzo  Contemporaneo  in  Italia.   Milan,  1892.   (Written 
in  1888.) 

in  pages.      ^Esthetic,  sociological,  and  psychological  discussion  of 
schools  and  individual  novelists. 

ROCAFORT,  J.  :  Les  Doctrines  Litteraires  de  PEncyclope"die.     1890. 
Five  or  six  pages  on  the  theory  of  the  novel. 

*  ROHDE,  E.  :  Der  griechische  Roman  und  seine  Vorlaufer.     Leipzig,  1876. 
t*  SAINTSBURY,  GEORGE  :  Essays  on  French  Novelists.    London,  1891. 
SAINTSBURY,  GEORGE  :  The  Flourishing  of  Romance  and  the  Rise  of  Allegory. 

N.Y.,  1896. 
SAINTSBURY,  GEORGE  :  A  History  of  Criticism  and  Literary  Taste  in  Europe. 

Three  vols.,  N.Y.,  Edinburgh,  and  London,  1900-1904. 

Invaluable  as  a  general  background  for  the  historical  student  of  the 

novel  and  its  theory, 
f  SCHERER,  EDMOND  :  Etudes  sur  la  Litterature  Contemporaine.     Nine  vols., 

1863-1889.     A  selection  translated  by  Saintsbury,  "Essays  on  English 

Literature,"  London,  1891,  includes  three  studies  of  George  Eliot. 
t*  SCHERER,  W.  :  Die  Anfange  des  deutschen  Prosaromans.    Strassburg,  1877. 
t  SCHMIDT,  ERICH  :  Richardson,  Rousseau  und  Goethe.     1875. 
SCUDDER,  VIDA  D. :  Social  Ideals  in  English  Letters.     Boston  and  N.Y.,  1898. 
For  the  novel,  the  development  of  the  subject  is  traced  in  More,  Swift, 

Dickens,  Thackeray,  and  George  Eliot. 

*  SENIOR,  N.  W.  :  Essays  on  Fiction.     London,  1864. 

Still  valuable  for  its  theoretical  and  technical,  as  well  as  historical 
matter. 


316  APPENDIX 

»  SIMONDS,  W.  E.  :   Introduction  to  the  Study  of  English  Fiction.    Boston, 

1894.  Mainly  a  selection  of  texts,  but  with  some  critical  and  historical 
matter. 

*  SIMONDS,  W.  E. :  School  edition  of  Ivanhoe.    Chicago,  1900.     (References 

elsewhere  are  to  this  volume.) 

*  SMITH,  L.  W.  :  The  Writing  of  the  Short  Story.    Boston,  1904. 

t*  SPIELHAGEN,  FR.  :  Beitrage  zur  Theorie  und  Technik  des  Romans.     Leip- 
zig, 1883. 

One  of  the  most  important  works  on  its  subject. 

SPIELHAGEN,  FR.  :  Neue  Beitrage  zur  Theorie  und  Technik  der  Epik  und 
Dramatik.     Leipzig,  1898. 
Some  discussion  of  the  novel. 

*  STODDARD,  R.  H.  :  The  Evolution  of  the  English  Novel.    N.Y.,  1900. 

A  standard  work,  but  not  as  extensive  in  historical  scope  as  Cross. 
SYMONDS,  J.  A.:   Essays  Speculative  and   Suggestive.     Two   vols.,  London, 

1890. 

TAYLOR,  H.  S.  :  The  Classical  Heritage  of  the  Middle  Ages.    N.  Y.,  1901. 
TEXTE,  J.  :    J.-J.  Rousseau  et  les  Origines  du  Cosmopolitanisme   Litteraire. 

1895.  English  translation,  N.Y.,  1895. 

Distinctly  conceived  in  the  spirit  of  comparative  literature.     Liberal 
discussion  of  the  eighteenth-century  English  novelists. 

*  THOMPSON,  D.  G.  :  The  Philosophy  of  Fiction  in  Literature.     London  and 

N.Y.,  1890. 

Important  discussion  of  the  aesthetic,  ethical,  psychological,  and  social 
aspects  of  fiction  ;  chapters  on  "The  Construction,"  and  "  The  Criticism," 
of  a  Work  of  Fiction. 
fTRAlLL,  H.  D.  :  The  New  Fiction  and  Other  Essays.     1897. 

Includes  discussion  of  the  political  novel,  the  novel  of  manners,  and 
the  "  novel  of  humours." 
*TUCKERMAN,  B.  :  A  History  of  English  Prose  Fiction.    N.Y.,  1882(1899). 

*  TURNER,  C.  E.  :  Modern  Novelists  of  Russia.     London,  1890. 

Excellent  for  the  period  covered. 
TURNER,  C.  E.  :  Studies  in  Russian  Literature.     London,  1882. 

(The  references  of  the  present  volume  are  to  this  work.) 
t*  VALDES,  A.  PALACIO  :  Los  Novelistas  Espafioles.     Madrid,  1884. 

*  VAN  DER  VELDE  :  French  Fiction  of  To-Day.    Two  vols.,  N.Y.,  1891. 
fVERON,  EUGENE:  ^Esthetics.     Translated  from  the  French.     London  and 

Philadelphia,  1879. 

VISCHER,  F.  T.  :  Aesthetik.     Three  vols.,  1846. 
f*  VOGUE,  E.  M.  DE  :  Le  Roman  Russe.    Paris,  1886.     English  translation, 

Boston,  1887. 


BIBLIOGRAPHY  AND   REFERENCES  317 

VOLKELT,  J.  :  Aesthetik  des  Tragischen.     Munich,  1897. 

Illustrations  are  in  part  from  fiction  —  Tolstoi,  Zola,  etc. 
WALISZEWSKI,  K.  :  La  Litt6rature  Russe.     Paris,  1900.     English  translation, 
N.Y.,  1890. 

Much  historical  and  critical  matter  on  the  nineteenth-century  novelists. 

*  WARREN,  F.  M.  :  A  History  of  the  Novel  previous  to  the  Seventeenth  Cen- 

tury.   N.Y.,  1895. 

A  standard  work  for  the  history  and  characteristics  of  Greek  romance, 
pastoral  romance,  romance  of  chivalry,  etc. 

*  WELLS,  B.  W.  :  A  Century  of  French  Fiction.    N.Y.,  1898. 

A  study  of  the  development  of  the  novel  as  a  form  of  art  in  the  nine- 
teenth century. 

WIENER,  LEO  :  Anthology  of  Russian  Literature.     Two  vols.,  N.Y.,  1902-03. 
Indispensable  to  the  average  American  student  of  Russian  fiction. 

*  WILSON,  S.  L.  :  The  Theology  of  Modern  Literature.     Edinburgh,  1899. 

Largely  with  reference  to  the  English  novel.     Chapters  on  the  theology 
of  George   Macdonald;  George  Eliot;   Mrs.  Humphry  Ward;    Hardy; 
George  Meredith,  and  the  "  Scottish  School  of  Fiction." 
WORSFOLD,  BASIL  :  The  Principles  of  Criticism.     London,  1897. 

One  chapter  on  "  The  Novel  as  a  Form  of  Literature." 

t  *  ZOLA,  EMILE  :    Le  Roman   Experimental.      1880.      English   translation, 
N.Y.,  1893. 

*  ZOLA,  EMILE:  Les  Romanciers  Naturalistes.     1881. 

*  ZUEBLIN,  C.  :  Social  Reform  in  Fiction.    (Syllabus.)   University  of  Chicago, 

1897. 

By  a  professor  of  sociology.     Studies  of  Hard  Times,  Alton  Locke,  All 
Sorts  and  Conditions  of  Men,  Marcella,  and  David  Grieve. 


INDEX 


Action  and  narration,  49. 

Action,  the  single,  53. 

Addison,  246;  Sir  Roger  de  Coverley,  96, 

194,  198,  229;  The  Spectator,  145, 

208,  229. 
^ESTHETIC  INTEREST,  GENERAL,  247- 

264. 

^Esthetics,  analysis  and  theory  in,  247. 
ESTHETICS,  COMPARATIVE,  232-246. 
Age  of  the  author,  184. 
Aldrich,  T.  B.,  The  Queen  of  Sheba,  122. 
Aleman,  Mateo,   Guzmdn  de  Alfarache, 

195- 
Allen,    Grant,   Physiological   /Esthetics, 

248,  n. 

Amadis  of  Gaul,  8,  22,  113,  206. 
American  Criticism  of  the  Novel,  Notes 

on,  268,  295,  301-302. 
Analysis  of  the  novel,  vii  ff.(  265-268. 

See  also  Glossary,  269. 
Analysis  and  theory  in  aesthetics,  247. 
Andersen,  H.  C.,  The  Improvisatore,  13, 

82. 
Annunzio,  Gabriele  d',  119,  192,  194,  195, 

211,  307. 

Romances  of  the  Lily,  5. 
Tr ion/o  della  Morte,  153,  189,  192,  n., 

194,  307. 

Architecture  and  the  novel,  243. 
Aristotle,  212,  287. 

Arnold,  Matthew,  145,  161,  n.,  188,  199. 
Art,  the  novel  as.    See  /Esthetic  Interest, 

and  ./Esthetics,  Comparative, 
theories  of,  260. 
Arts,  classification  of  the,  233. 

relation  of  the  separate,  232. 
Ascham,  Roger,  The  Schoolmaster,  288; 
Toxophilus,  17,  130. 


Augustine,  Saint,  51, 161,  209. 

Austen,  Jane,  9,  22,  67,  83,  98,  101,  126, 

150,  151,  163,  164,  186,  197. 
Northanger  Abbey,  5. 
Pride  and  Prejudice,  32,  33,  54, 55,  58, 
60,  62,  65,  67,  69,  70,  71,  72,  76,  77, 
80,  86,  87, 89,  91,  92,  95,  96,  99,  loi. 
102,  106,  113,  117,  120,  134. 
Sense  and  Sensibility,  6,  16,  33, 46,  98, 

118,  123,  145,  148,  255. 
Author,  the,  age  of,  184. 

and  dramatis  personae,  relations  of, 

101 ;  in  respect  to  settings,  87. 
episodes  in  his  life,  186. 
individuality  of,  as  a  shaping  force, 

183. 

sex  of,  185. 

Azeglio,  Massimo  d',  Ettorre  Fieramosca, 
169,  170. 

Background,  middleground,  and   fore- 
ground characters,  96. 

Bacon,  Francis,  156,  159,  245,  289;    The 
New  Atlantis,  193. 

Baldwin,  J.  M.,  Dictionary  of  Philosophy 
and  Psychology,  140. 

Balzac,  Honore  de,  8,  86,  94,  106,  lao, 
I2i,  150,  153,  155,  156,  159,  176, 
178,  183,  184, 190,  235,  297. 
Comidie  Humaine,  IM,  5,  6,  7,  106, 

133.  135,  ISL  170,  173.  J78. 
Deputy  for  Arcis,  The,  8. 
Eugenie  Grandet,  33,  98,  184. 
Letters  of  Two  Brides,  13,  ai. 
Lost  Illusions,  8. 

Peau  de  Chagrin,  La,  12, 153, 170,  397, 
Pere  Goriot,  Le,  33,  127. 
Woman  of  Thirty,  A,  & 


319 


320 


INDEX 


Barbauld,  Anna  L.,  295. 

Barclay,  John,  Argents,  12,  192. 

Baumgart,  H.,  Handbuch  der  Poetik,  no, 
n.,  305- 

Beautiful,  the,  and  the  unbeautiful,  256. 

Beckford,  William,  Vathek,  20,  33,  173, 
177,  211. 

Beethoven,  241. 

Beginning,  middle,  and  end  of  composi- 
tion, 32. 

Behn,  Mrs.  Aphra,  186;  Oroonoko,  102, 
180. 

Belleau,  Remi,  Journee  de  la  Bergerie, 

13- 

Beowulf,  15,  19. 
Besant,  Walter,  180;  Art  of  Fiction,  167, 

174,  179- 

and  James  Rice,  All  Sorts  and  Condi- 
tions of  Men,  214. 

Beyer,  C.,  Deutsche  Poetik,  306. 

Bible,  The :  Book  of  Esther,  120,  161, 
258 ;  Genesis,  46 ;  Revelation,  161 ; 
Book  of  Ruth,  16,  161. 

BIBLIOGRAPHY  AND  REFERENCES,  309- 

317- 

Biography  and  the  novel,  224. 

Birken,  Kurze  Anweisung  zur  deutschen 
Poesie,  290. 

Bjornson,  Bjornstjerne,  119, 187, 190,  242. 

Blair,  Hugh,  Rhetoric,  279,  291. 

Blake,  William,  228. 

Boccaccio,  150,  287 ;  Ameto,  14 ;  Decam- 
eron, 4,  206. 

Bodmer,  J.  J.,  294. 

Boileau,  Nicolas,  Les  Heros  de  Roman, 
290. 

Book,  the,  as  a  unit  of  structure,  8. 

Borinski,  K.,  Die  Poetik  der  Renaissance, 
306. 

Boswell,  James,  Life  of  Dr.  Johnson,  209. 

Bourget,  Paul,  24,  n.,  195,  304 ;  Cosmop- 
olis,  82. 

Bouterwek,  Fr.,  History  of  Spanish  Litera- 
ture, 299. 

Boyle,  Roger,  Parthenissa,  u,  25,  26. 

Brandes,  Georg,  306. 

Bronte,  Charlotte,  Jane  Eyre,  123,  186. 

Brooke,  Henry,  The  Fool  of  Quality,  209 ; 
Juliet  Grenville,  8,  25,  117,  119. 

Browne,  Sir  Thomas,  Religio  Medici,  189, 


Browning,  Elizabeth  Barrett,  Aurora 
Leigh,  221. 

Browning,  Oscar,  Life  of  George  Eliot, 
172,  201. 

Browning,  Robert,  xii,  19,  24,  117,  141, 
142,  199,  221,  224,  228,  232 ;  Pippa 
Passes,  114. 

Brugis,  Nonis  Aprilis,  288. 

Brunetiere,  Ferdinand,  188,  215,  304; 
Roman  Naturaliste,  24,  n.,  101, 
140,  141,  168,  172,  304. 

Buffon,  Comte  de,  207. 

Bulwer  Lytton,  194,  296;  Kenelm  Chil- 
lingly, 10,  13,  43;  Last  Days  of 
Pompeii,  82 ;  Last  of  the  Barons, 
112;  Parisians,  The,  99;  Paul 
Clifford,  10,  24,  43;  Pausanias, 
180;  Rienzi,  14,  22. 

Bunyan,  John,  23,  83, 198, 224, 289 ;  Holy 
War,  The,  17;  Mr.  Badman,  17, 
125;  Pilgrim's  Progress,  17,  26, 
71,  92,  123,  136,  185. 

Burney  (D'Arblay),  Frances,  186;  Eve- 
lina, 21,  31. 

Burns,  Robert,  209,  228. 

Burton,  Robert,  Anatomy  of  Melancholy^ 

195- 
Byelinski,  Vissarion  G.,  300. 

Caine,  Hall,  The  Manxman,  8. 

Campanella,  Tommaso,  Civitas  Solis, 
26. 

Carlyle,  Thomas,  176, 196, 296 ;  Chartism, 
123 ;  Correspondence,  230 ;  French 
Revolution,  48;  Sartor  Resartus, 
230. 

Carriere,  M.,  Aesthetik,  306. 

Catastrophe  in  plot,  60. 

Caxton,  William,  287. 

Central  character,  97. 

Cervantes,  95,  150,  153, 156,  163,  290. 
Don    Quixote,  4,  5,   23,  33,  89,   102, 
123,  153,  174,  179,  185,  189,  194, 
195,  205,  206,  215,  224,  255,  290. 
Galatea,  14. 

Chapter,  the,  9. 

distribution  of  characters,  93. 

Character  and  characterization,  109. 

CHARACTERIZATION,  109-129. 

Character  point  of  view,  71. 


INDEX 


321 


CHARACTERS,  The,  91-129. 

association  of,  99. 

author,  and,  relations  of,  87,  101. 

central,  97. 

change  (development)  in,  124. 

composition  of,  91. 

costume  and  physical  environment  of, 
114. 

foreground,  middleground,  and  back- 
ground, 96. 

grouping  of,  93-108. 

identity,  individuality,  and  type  in,  121. 

names  of,  112. 

number  of,  92. 

pantomime  of,  116. 

physiognomy  of,  113. 

psychological  grouping  of,  107. 

settings,  and  the  author,  87. 

social  grouping  of,  105. 

successive  grouping  of,  94. 

typical  and  individual,  104,  HI. 

unfolding  of,  in. 

utterance  of,  117. 

Chateaubriand,  297 ;  Atala,  153, 154,  281. 
Chaucer,  118  ;   Canterbury  Tales,  4. 
Chesterfield,  Letters,  230. 
Chopin,  Frederic  F.,  241,  242. 
Circumstantial  settings,  83. 
Classics,  the,  and  the  novel,  study  of,  xi. 
Classification  of  fiction,  279. 
Climax  and  foiling,  44. 
Climax  of  plot,  59. 

Clough,  A.  H.,  Amours  de  Voyage,  221. 
Cody,  Sherman,  How  to   Write  Fiction, 

167,  174,  178. 
Coleridge,  S.  T.,  xi,  164,  203,  207,  209, 

296. 

Collaboration,  180. 
Comic,  the,  and  the  tragic,  254. 
COMPARATIVE  ^ESTHETICS,  232-246. 
Comparative  literature  and  study  of  the 

novel,  x. 

COMPARATIVE  RHETORIC,  218-231. 
Complexity  in  the  novel,  xii ;  as  a  qual- 
ity of  style,  160. 

COMPOSITION,  PROCESS  OF,  166-180. 
Composition,  the  whole,  3;   beginning, 
middle,  and  end  of,  32 ;  germ  of, 
167;   length  of,  6;  plan  of,  169; 
sources  of,  170. 


Comprehensiveness,  as  a  quality  of  style, 

155- 

Conceptual  effect,  213. 
Concerted  speech,  19. 
Concreteness,  as  a  quality  of  style,  158. 
Congreve,  William,  preface  of  Incognita, 

289. 

Conscience,  Hendrik,  117. 
CONSECUTIVE  STRUCTURE,  28-46. 
Contrast,  252. 
Conversation,  group,  18. 
Cooper,  J.  F.,  204 ;  Last  of  the  Mohicans^ 

10,  19,  55,  62,  94,  loo,  224. 
Costume  of  characters,  114. 
Crabbe,  George,  Tales,  221. 
Crawshaw,  W.  H.,  The  Interpretation  of 

Literature,  267. 
CRITICISM,    NOVELISTIC,    NOTES    ON 

THE  HISTORY  OF,  286-308. 
American,  295,  301-302. 
Eighteenth  Century,  290-294. 
English,  287,  288,  289,  291-293,  295- 

297,  302-304. 
Fifteenth  Century,  287. 
French,  288,  290,  293,  297-299,  304- 

305- 

German,  290,  294,  299-300,  305-307. 
Grseco-Roman  Period,  287. 
Greek,  287. 

Italian,  287,  288,  307-308. 
Middle  Ages,  287. 
Nineteenth  Century,  First  Half,  295- 

301 ;  Second  Half,  301-308. 
Russian,  300-301,  308. 
Seventeenth  Century,  288-290. 
Sixteenth  Century,  287-288. 
Spanish,  287,  288,  290,  308. 
Cross,  J.  W.,  Life  of  George  Eliot,  168, 

176,  177. 
Cross,  W.  L.,  Development  of  the  English 

Novel,  20,  n.,  24,  n.,  52,  260. 
Cyrano  de  Bergerac,  Histoire  Continue 

des  Etats  et  Empire  de  la  Lune, 

193- 

Dallas,  E.  S.,    The    Gay   Science,  159, 

302. 
Dante,  106,  192;  La  Divina  Commedia, 

7,  86,  177 ;  La  Vita  Nuova,  13. 
Daudet,  Alphonse,  173. 


322 


INDEX 


Davenant,  Sir  William,  preface  of  Gondi- 

bert,  289. 
Defoe,  Daniel,  7, 16,  23, 102, 115, 125, 150, 

151,  157,  184,  196,  198,  202,  291. 
Colonel  Jacque,  17,  114,  124,  225. 
Moll  Flanders,  115,  124,  202. 
Mrs.  Christian  Dames,  115. 
Plague   Year,  Journal  of  the,  16,  17, 
51,  64,  65,  76,  92,  94,  97,  98,  226, 
260. 

Robinson  Crusoe,  4,  5,  6,  17,  33, 67, 70, 
71,  74,  75,  84,  89,  95,  98,  115,  123, 
124, 136, 143, 148, 149, 153, 154, 155, 
161, 164, 165, 172, 174, 185, 188, 192, 
205,  215,  291. 

Deloney,  Thomas,  Jack  ofNewbury,  136. 
De  Quincey,  Thomas,  296. 
Design,  general,  250. 
Dialogic  form,  17-19. 
Dickens,  Charles,  8,  24,  82,  104,  163,  184, 

195,  198,  214,  296. 

David  Copperfield,  7,  71,  98,  102,  185. 
Dombey  and  Son,  12,  22,  80,  84,  86, 87, 

88,  90,  134,  201. 
Edwin  Drood,  180. 
Old  Curiosity  Shop,  82. 
Oliver  Twist,  6. 
Pickwick  Papers,  184. 
Tale  of  Two  Cities,  5,  8. 
Diderot,  Eloge  de  Richardson,  293. 
Divisions  of  a  novel,  7-12. 
Documentary  form,  20-22. 
Dostoyevsky,  Fy6dor  M.,  119,  160,  206, 

235  ;  Poor  Folk,  21. 
Dowden,  Edward,  302. 
Drama,  the,  and  the  novel,  234. 
Dramatic  and  non-dramatic  form,  15-16, 

Si- 

Dramatic  line,  the,  57-61. 
DRAMATIS    PERSONS.    THE,    91-108. 

See  CHARACTERS. 
Dryden,  John,  289. 
Dumas,  pere,  Alexandre,  104,  140,  180, 

191. 
Dunlop,  J.  C,  History  of  Prose  Fiction, 

x,  266,  296. 
Duologue,  18. 

Earle,  John,  Microcosmography,  230. 
Ebcrs,  Georg,  Homo  Sum,  52,  138. 


Edgeworth,  Maria,  156, 186 ;  Castle  Rack- 
rent,  82,  184. 

Eeden,  Frederik  van,  211. 

Effects  of  a  novel,  particular,  209-214; 
in  general,  see  INFLUENCE  OF  A 
NOVEL.  \  \  I 

Eliot,  George,  83,  ;0i,  126,  133,  140,  144, 

•152,  156,  i&j,  168,   170,  jffl,   173, 

174,   175,  176,  177,  178,  184,  185, 

192,    193,    198,    199,    201,    205,    206, 

228,  302 ;  see  Cross,  J.  W. 
Adam  Bede,  7,  10,  120,  126,  168,  170, 

172,   173,  174,  203,  222. 

Daniel  Deronda,  7,  8,  171. 

Felix  Holt,  171. 

Janet's  Repentance,  22, 27,46, 57, 59, 73. 

Middlemarch,  136,  153,  170,  175,  185, 

188. 
Mill  on  the  Floss,  22,  71,  117,  134, 

170,  171. 

Mr.  Gilfil's  Love  Story,  22. 
Romola,  79,  82,  149, 161, 168,  176,  177. 
Scenes  of  Clerical  Life,  170,  222. 
Silas  Marner,  7,  10,  II,  16,  18,  19,  22, 

23,  24,  3°,  3i,  32,  33,  35,  36,  37,  38, 
39,  41,  42,  43,  44,  45,  46,  50,  54,  57, 
58,  59,  60,  61,  62,  63,  66,  68,  70,  72, 
73-  76,  77,  78,  80,  83,  84,  85,  87,  88, 
9i,  92,  93,  94,  95,  97,  99,  100, 
101,  106,  in,  113,  115,  120,  123, 
126,  136,  140,  142,  146,  148,  151, 
159,  164,  168,  170,  174,  176,  203, 

2IO,  222,  225,  228,  236,  238,  239, 
240,  243,  245,  251,  253,  254,  255, 
26l. 

Emerson,  R.  W.,  145,  159,  188,  230. 
Emotional  effect  of  the  novel,  212. 
Emotion,  line  of,  39. 
English  Criticism  of  the  Novel,  Notes  on, 

265-266,  287,   288,   289,   291-293, 

295-297,302-304. 
Environment  of  the  author,  immediate 

social,  197. 

Environment  of  characters,  physical,  114, 
Epic,  the,  and  the  novel,  222. 
Episode  in  plot,  37. 
Episode  in  the  author's  life,  186. 
Epistolary  form,  20,  31. 
Erckmann-Chatrian  partnership,  180. 
Essay,  the,  and  the  novel,  226. 


INDEX 


323 


Eustathius,  287. 

Event  and  incident,  34. 

Everyman,  198. 

Exhibition  and  interpretation  of  subject, 

131- 
Extensive    and    the    intensive,    the,    in 

subject-matter,  131  ;    methods  of 

study,  ix. 

External  material,  language  as,  248. 
EXTERNAL  STRUCTURE,  1-27. 

Fiction.     See    Ideality,   Illusion,  Prose 

Fiction. 

Fielding,   Henry,  8,  10,  14,  74,  95,  134, 
143.   155.  156,  iS7.  163,  169,  179, 
184,  185,  192,  194,  198,  221,  223, 
224,  226,  234,  265,  291. 
Amelia,  8,  10,  134,  172. 
Jonathan  Wild,  10,  17. 
Joseph  Andrews,  5,  6,  102,  123,  153, 

169,  179. 

Tom  Jones,  xi,  5,  10,  33,  76,  98,  185. 
Fielding,  Sarah,  8,  172,  291. 

and  Jane  Collier,  The  Cry,  8,  291. 
Fitzmaurice-Kelly,  J.,  History  of  Spanish 

Literature,  179. 
Flaubert,  Gustave,  101, 150, 153 ;  Madame 

Bovary,  178. 

Fogazzaro,  Antonio,  137,  184,  195. 
Foiling  and  climax,  44. 
Force,  as  a  quality  of  style,  164. 
FORCES,  THE  SHAPING,  of  a  novel,  181- 

201. 

Foreground,  middleground,  and  back- 
ground characters,  96. 

Form  and  subject-matter,  130. 

Form  in  art,  value  of,  249. 

Forms  of  discourse,  218. 

Foscolo,  Ugo,  190;  Jacopo  Ortis,  21, 
123. 

Fragments  of  a  composition,  180. 

France,  Anatole,  146,  286. 

French  Criticism  of  the  Novel,  Notes  on, 
266,  288,  290,  293,  297-299,  304- 

3<>5- 
Freytag,   Gustav,  306;    Die  Ahnen,  5; 

Soil  und  Haben,  6,  33,  101,  102, 

120,  134,  149,  188,  203;     Technik 

des  Dramas,  47,  n.,  306. 
Froude,  J.  A.,  Life  of  Carlyle,  224. 


Fuller  (Ossoli),  Margaret,  295. 
Furetiere,   Antoine,    Roman    Bourgeois^ 
290. 

Gald6s,  Perez.    See  Perez  Gald6s. 
Garland,  Hamlin,  198 ;  Crumbling  Idols, 

301. 
Garnett,    Richard,    History    of   Italian 

Literature,  188,  196 ;    Vathek,  173. 
Gentleman's  Magazine,  The,  202,  292. 
German  Criticism  of  the   Novel,  Notes 

on,  267,   290,  294,  299-300,  305- 

3°7- 

Germ  of  a  composition,  the,  167. 
Gesta  Komanorum,  287. 
Giddings,  F.  H.,  Inductive  Sociology,  107, 

124,  132,  n.,  207. 

Gilbert,  Eugene,  Le   Roman  en  France 

pendant  le  XIX"  Siecle,  178,  277. 
GLOSSARY  AND  REFERENCES,  269-278. 
Godwin,  William,  Caleb   Williams,  193. 
Goethe,  ico,  112,  140,  150,  156,  165,  167, 
184,  206,  209,  224,  225,  230,  234, 
244,  294,  299. 

Wahlverwandtschaften,  Die,  16,  144. 
Werther,  13,  21,  102,   123,    128,   169, 
182,   183,    184,  185,  190,  205,  206, 
214,  255. 
Wilhelm  Meister,  5,  8,  33,  105,  123, 

125,  142,   148,  149,  153,  155,  174, 
180,  183,  184,  192,  206,  295. 

Gogol,   Nikolai  V.,   160,   163,  171,  176, 

180,  183,  187,  206,  300. 
Dead  Souls,  8,  180,  189,  195,  224. 
Taras  Bulba,  14,  22,  153,  170,  224. 
Goldsmith,  Oliver,  163,  292;    Citittn  of 
the   World,  229 ;    Vicar  of  Wake- 
field,  98,  102,  134,  172,  185. 

G6mez  de  Quevedo  y  Villegas,  Fran- 
cisco, Suenos,  86. 

Goncourt,  de,  Edmond  and  Jules,  119, 
172. 

Gontcharoff,  Ivan  A.,  A  Common  Story, 6, 

Gorki,  Maxim,  308. 

Gosse,  Edmund,  170,  174,  275,  277,  302. 

Gottsched,  J.  C.,  294. 

Graves,  Richard,  The  Spiritual  Quixote,  8. 

Gray,  Thomas,  208,  292. 

Greene,  Robert,  Alcida,  171,  n. 

Grieg,  Edvard  H.,  242. 


324 


INDEX 


Group  Conversation,  18.    See  Concerted 

Speech,  Dialogue. 

Grouping  of  dramatis  personae,  93-108. 
Groups,  character,  characterization    of, 

128. 
Gummere,  F.  B.,  Handbook  of  Poetics, 

218. 

Hallam,  Henry,  Literature  of  Europe, 
296 ;  Middle  Ages,  48. 

Hardy,  Thomas,  87,  119,  132,  182,  198, 
228,  303;  Life  s  Little  Ironies,  6; 
A  Pair  of  Blue  Eyes,  90. 

Harte,  Bret,  195. 

Hauff,  W.,  Lichtenstein,  10. 

Hawthorne,  Julian,  204,  210. 

Hawthorne,  Nathaniel,  87,  121,  137, 
172,  182,  302;  The  Ambitious 
Guest,  6,  92,  222;  Dolliver  Ro- 
mance, 180;  Ethan  Brand,  89, 
222;  House  of  Seven  Gables,  33, 
82,  89 ;  Scarlet  Letter,  7,  33,  51 ; 
Septimius  Felton,  180. 

Haywood,  Mrs.  Eliza,  Memoirs  of  a  cer- 
tain Island  adjacent  to  Utopia,  12. 

Hazlitt,  William,  296. 

Head,  Richard,  The  English  Rogue,  22, 
289. 

Hegel,  G.  W.  F.,  249. 

Heine,  Heinrich,  228. 

Heliodorus,  Theagenesand  Chariclea,  16. 

Hennequin,  Emile,  La  Critique  Scien- 
tifique,  184,  207,  266. 

Heyse,  Paul,  82. 

Historical  influence  on  the  novel,  195. 

Historical  interpretation  in  the  novel,  139. 

Historical  period  in  subject-matter,  138. 

History  (as  a  type  of  literature)  and  the 
novel,  225. 

History  and  sociology  in  subject-matter, 
132. 

Hobbes,  Thomas,  203. 

Hogarth,  William,  Marriage  a  la  Mode. 
238. 

Holberg,  Ludwig  H.,  Iter  Subterraneum, 
12,  192. 

Howells,  W.  D.,  9,  163,  175,  302;  A 
Modern  Instance,  6. 

Huet,  Pierre  D.,  De  VOrigine  des  Ro- 
mans, 290. 


Hugo,  Victor,  n,  45,  94,  137,  140,  150, 
184,  198,  206,  228,  234,  241,  244, 
298 ;  Les  Miserables,  43,  185 ; 
Notre  Dame  de  Paris,  8,  10,  86,  92, 
127,  134 ;  Quatre-vingt-treize,  79. 

Hulot,  Instruction  sur  les  Romans,  298. 

Humanity  and  nature  in  a  work  of  art, 
247. 

Human  nature,  in  the  author,  198;  as 
subject-matter,  143. 

Hume,  David,  196. 

Humor  as  a  quality  of  style,  162. 

Hunt,  Leigh,  What  is  Poetry?,  164,  n. 

Hurd,  Richard,  Letters  on  Chivalry  and 
Romance,  292. 

Ibsen,  Henrik,  68 ;  Hedda  Gabler,  81. 

Ideality,  in  narrative  plot,  48 ;  and  reality 
in  characters,  102;  reality,  and 
truth  in  settings,  84 ;  as  a  quality 
of  style,  163. 

Identity,  individuality,  and  type,  in  char- 
acters, 121. 

Illusion,  artistic,  258. 

Incident  and  event,  in  plot,  34. 

Individual,  the,  and  society  as  subject- 
matter,  142;  and  the  typical,  in 
subject-matter,  131. 

Individuality,  in  the  author,  183;  and 
type,  in  the  characters,  104,  121 ; 
as  subject-matter,  140;  of  a  work 
of  art,  249. 

Individuals,  influence  of  a  novel  on, 
208. 

INFLUENCE  OF  A  NOVEL,  THE,  202-217. 

Influences  shaping  a  novel.  See  FORCES, 
SHAPING. 

Ingelo,  Nathaniel,  Bentivolio  and  Urania, 
26,  289. 

Interpretation  and  exhibition  of  subject- 
matter,  131. 

Interpretation  of  history  in  the  novel,  139. 

Italian  Criticism  of  the  Novel,  Notes  on, 
287,  288,  307-308. 

James,  Henry,  191,  238,  302;  The  Art 
of  Fiction,  158,  167,  273,  278,  302. 

James,  William,  Principles  of  Psychology, 
122,  128. 

Jeffrey,  Francis,  296. 


INDEX 


325 


Johnson,  Samuel,   169,  208,  292;    The 

Idler,    229;     The    Rambler,   229; 

Rasselas,  24,  n.,  142,  147,  169,  174. 
Jokai,  Maurus,  205. 
jonson,   Benjamin,   104,  208,  289;   The 

Alchemist,  xi. 

Journalism  and  the  novel,  229. 
Judgment,  of  a  novel,  263 ;  of  plot,  76. 
Jusserand,  J.  J.,  Le  Roman  Anglais,  20, 

n.,  116,  n. 

Kames,  Lord,  Elements  of  Criticism,  292. 

Karamzin,  119,  190,  226,  300. 

Keats,  John,  228. 

Kemeny,  Zsigmond,  Baron,  205. 

Kempis,  Thomas  a,  Imitation  of  Christ, 
161. 

Kielland,  Alexander,  87,  191,  242. 

Kingsley,  Charles,  198,  231,  297;  Alton 
Locke,  51,  123;  Yeast,  123;  West- 
ward Ho !  10,  102,  103,  120. 

Kipling,  Rudyard,  53. 

La  Bruyere,  Caracteres,  123. 

La  Calprenede,  290. 

La  Fayette,  Comtesse  de,  La  Princesse 
de  Cleves,  143,  146,  186,  188,  198. 

Lamartine,  140. 

Landscape  gardening  and  the  novel,  245. 

Language,  as  external  material,  248;  in- 
fluence of,  on  the  novel,  191. 

Lanier,  Sidney,  The  English  Novel,  78, 
215,  220,  302;  Individuality,  no. 

Lanson,  Gustave,  Histoire  de  la  Littera- 
ture  Francaise,  154,  172,  178,  187, 

273,  274- 

Law,  William,  Serious  Call  to  the  Uncon- 
verted, 292. 

Lazarillo  de  Tonnes,  195,  206. 

Lcland,  Thomas,  186 ;  Longsword,  8, 
292. 

Lennox,  Charlotte,  The  Female  Quixote, 
22,  194. 

Lermontoff,  Mikhail  Y.,  A  Contemporary 
Hero,  98. 

Le  Sage,  95,  195 ;  Gil  Bias,  5,  8,  10,  73, 

153,  174- 
Lessing,    Hamburgische    Dramaturgie, 

294;  Laofcoon,  114,  237. 
LevSque,  C.,  La  Science  du  Beaux,  275. 


Lewes,  G.  H.,  180,  261. 

Lie,  Jonas,  190,  242;  One  of  Life's 
Slaves,  6. 

Line  of  emotion,  the,  39. 

Lines  of  interest,  38. 

Literary  influence,  from  a  novel,  aoj; 
upon  a  novel,  193. 

Literary  types  and  the  novel.  Sec  COM- 
PARATIVE RHETORIC. 

Lodge,  Thomas,  verse  quoted,  199; 
Rosalind,  13,  17,  22,  115,  124,  157. 

Longus,  Daphnis  and  Chloe,  118,  136, 
140,  144. 

Lotze,  Hermann,  Outlines  of  /Esthetics 
(translated  and  edited  by  G.  T. 
Ladd),  124,  132,  261. 

Ludwig,  Otto,  306. 

Lyly,  John,  163;  Euphues,  17,  24,  57, 113, 
124,  157,  208,  288;  Love's  Meta- 
morphosis, 163. 

Lyric,  the,  and  the  novel,  227. 

MacClintock,  W.  D.,  54. 

Mackenzie,  Henry,  The  Man  of  Feeling, 

6,  22,  25,  98,  112,  116,  176. 
Mackenzie,  J.  S.,  Manual  of  Ethics,  257, 

n.,  264,  n. 
Maigron,   L.,   Le   Roman   Historique  a 

I'Epoque  Romantique,  267,  273. 
Malory,  Sir  Thomas,   Morle  d  Arthur, 

48,  86,  157. 

Man,  nature  in,  as  subject-matter,  144. 
Manzoni,  Alessandro,  104,  137,  150,  190, 

195,  234,  241 ;    /  Prornessi   Sfosi, 

12,  33,  92,  94.  98, 104, 134.  154.  *75, 

185,  205. 

Masses  (of  structure)  in  a  novel,  30  ff. 
Masson,   David,  British  Novelists  and 

their  Styles,  132.  147,  183,  266,  304. 
Matthews,  Brander,  180,  n.,  187,  189,  195, 

302. 

Maupassant,  Guy  de,  153,  176. 
Mendelssohn,  Felix,  241,  242. 
Mendelssohn,  Moses,  294. 
Meredith,  George,  24,  150,  163,  164,  228, 

303- 

Merejkowski,  D.,  206,  308. 
MeYimee,  Prosper,  140,  298. 
Meyer,   Joseph,   Konversations- Lex  ikon, 

3<>7. 


326 


INDEX 


Milton,  289;  Paradise  Lost,  7,  15,  16,  19, 
289. 

Moliere,  290. 

Momentum,  mass  in,  42. 

Monologue  ^and  soliloquy,  17. 

Montegut,  E.,  304. 

Montemayor,  George  of,  Diana,  206. 

Moore,  John,  292. 

Moore,  Thomas,  Lalla  Rookh,  221. 

More,  Sir  Thomas,  Utopia,  102, 103,  134, 
192. 

Morley,  Henry,  25,  116. 

Morris,  William,  14 ;  House  of  the  Wolf- 
ings,  14. 

Motivating  forces,  63. 

Motivation,  62  ff. 

Moulton,  R.  G.,  Shakespeare  as  a  Dra- 
matic Artist,  47,  49,  n.,  54,  259, 
263,  n. 

Movement,  rate  of,  in  narration,  43. 

Movement  and  situation,  33. 

Music  and  the  novel,  241. 

Names  of  characters,  112. 

Names  of  novels.    See  Title,  the. 

Narration  and  Action,  49. 

Narratives,  simple,  sequence  of  (in  plot 
analysis),  56. 

Narratives  simpler  than  the  novel,  analy- 
sis of,  46. 

Narrator,  the,  and  his  point  of  view, 
66  ff. 

Nash,  Thomas,  Jack  Wilton  (The  Un- 
fortunate Traveller),  112,  115, 116, 
118,  124,  157. 

National  and  racial  influences  on  the 
novel,  187. 

Natural,  social,  and  socialized  settings,  86. 

Nature,  and  humanity  in  a  work  of  art, 

247. 
external,  as  subject,  144;   influence 

on  a  novel,  199. 

human  in  the  author,  198;   as  sub- 
ject, 143. 
in  man,  as  subject,  144. 

Navarre,  Margaret  of,  Heptameron  des 
Nouvclles,  4. 

Newman,  J.  H.,  137,  138,  183,  194,  195, 
198,  209,  224,  231,  297;  Callista, 
101,  155,  194 ;  Loss  and  Gain,  102. 


Nichol,  John,  American  Literature,  204. 

Nicolai,  Friedrich,  294. 

Nietzsche,  F.  W.,  176,  307. 

Nordau,   Max,  Degeneration,  176,  307; 

Paradoxes,  208,  307. 
Norris,   Frank,    Responsibilities    of  the 
Novelist  and  Other  Literary  Es- 
says, 167,  174,  178. 
Norris,  W.  E.,  and  others,  On  the  Art 

of  Writing  Fiction,  167. 
Novalis,  294. 

Novel,  the,  analysis  of,  vii,  265-268. 
and  other  types  of  art,  232-246. 
and  other  types  of  literature,  218-231. 
as  a  type  of  literature,  218-231. 
as  a  work  of  art,  232-264. 
characterization  in,  no. 
criticism  of,  notes  on  the,  286-308. 
definitions  of,  273,  275-276,  293. 
external  structure  in,  2. 
judgment  of,  263. 
laws  of,  274,  294. 
popularity  of,  202. 
study  of,  vii-xii,  265-268. 
style  in,  152-165. 
subject-matter  in,  132  ff. 
technical  terms  in  criticism  of,  265- 

278,  296. 

theories  of,   262,  272,  273,  274,  275- 
276,  278,  293,  294,  298, 299, 302, 303, 
304-305,  306,  307. 
types  of,  279-285. 

Objective  and  subjective  aspects  of  style, 

151- 

Objectivity  as  a  quality  of  style,  156. 
O'Shaughnessy,  Arthur,  196,  n. 
Ossian,  14,  208. 
Overbury,  Sir  Thomas,  Characters,  123. 

Painter,  Palace  of  Pleasure,  6,  288. 

Painting  and  the  novel,  237. 

Palacio  Valdes,  Armando,  308;  Es- 
puma,  91,  137,  198;  La  Ft,  137, 
142, 155  ;  Maximina,  5  ;  Riverita,  5. 

Paltock,  Robert,  Peter  Wilkins,  26,  102. 

Pantomime  of  characters,  116. 

Paragraph,  the,  10. 

Pardo  Bazan,  Emilia,  235,  308. 

Paris,  Gaston,  305. 


INDEX 


32; 


Parry,  Catherine,  Eden  Vale,  25. 

Part,  the,  as  a  unit  of  structure,  8. 

Pater,  Walter,  Marius  the  Epicurean,  144. 

Patmore,  Coventry,  quoted,  189 ;  Angel 
in  the  House,  221. 

Pellissier,  Georges,  The  Literary  Move- 
ment in  France  during  the  Nine- 
teenth Century,  304. 

Perceptual  effect  of  the  novel,  209. 

Perez  Gald6s,  187;  Episodios  Nacio- 
nales,  135;  Dona  Perfecta,  10,  22, 

33.  51-  52.  73.  76,  137- 
Philosophy,  general,  in  subject-matter, 

147. 

Phonology,  27. 
Photius,  287. 

Physiognomy  of  characters,  113. 
Physiological  psychology,  in  character- 
ization, 118. 
Place  distribution,  in  the  influence  of  a 

novel,  204. 

Place  settings,  81-83. 
Plan  of  a  composition,  169. 
Plato,  130,  193,  287. 
PLOT,   47-77.      See  also  STRUCTURE, 

CONSECUTIVE. 

-action  and  narration  in,  49,  53-57. 
analysis  of,  49-71. 
climax  and  catastrophe  in,  59-62. 
(dramatic  line,  the,  in,  57-62. 
generalized  statement  of,  72. 
ideality  of,  48. 
judgment  of,  76. 
^meaning  of,  47,  52. 
motivation  and  motivating  forces  in, 

62-65. 

narration  and  action  in,  49,  53-57. 
narrator,  the,  in,  66-72. 
necessity  of,  in  narration,  48. 
point  of  view  in,  66-72. 
proper,  52. 
story,  and,  51. 
s^  types  .of,  74. 
unity  of,  73. 

Poe,  Edgar  Allan,  33,  96,  121,  153,  168, 
175,  206,  295;  The  Gold-bug,  86, 
92, 164, 222 ;  Tales,  xii ;  William 
Wilson,  122. 

Poetry  and  prose  in  the  novel,  219. 
Point  of  view  in  the  plot,  66-72. 


Points,  in  the  structure,  40-45. 

Pope,  Alexander,  297 ;  Essay  on  Man, 
199;  Rape  of  the  Lock,  208,  224. 

Popularity  of  fiction,  202. 

Prescott,  W.  H.,  Biographical  and  Criti- 
cal Miscellanies,  295. 

Proportion,  253. 

Prose  and  poetry  in  the  novel,  219. 

Prose  and  verse  in  the  novel,  13,  220. 

PROSE  FICTION,  TYPES  OF,  279-285. 

Psychological  effects.    See  Effects  of  a 

Novel,  Particular, 
groups  of  characters,  107. 

Psychology,  in  characterization,  118  ff. ; 

in  subject-matter,  140-144. 
of  the  process  of  composition,  176. 

Pushkin,  Alexander,  171,  180,  191,  198, 
206,  221,  228,  241. 

Quevedo.    See  G6mez  de  Quevedo. 

Rabelais,  22,  23,  150,  153,  156. 

Racial  and  national  influences  on  a 
novel,  187. 

Radcliffe,  Mrs.  Ann,  8,  10,  13,  63,  64,  80, 
82,  87,  145,  186,  244;  Gaston  de 
Dlondeville,  13 ;  Italian,  The,  20, 
80, 137, 161 ;  Mysteries  of  Udolpho, 
13 ;  Romance  of  the  Forest,  7, 13 ; 
Sicilian  Romance,  20. 

Raleigh,  Professor  Walter,  153 ;  The  Eng- 
lish Novel,  235. 

Reade,  Charles,  The  Cloister  and  the 
Hearth,  46,  52,  136,  185. 

Reality,  and  ideality  in  characters,  102; 
ideality,  and  truth,  in  settings,  84. 

Reciprocity,  in  structure,  45. 

Reeve,  Miss  Clara,  Old  English  Baron, 
7,  20,  186;  Progress  of  Romance, 
202,  204,  292. 

Reich,  Emil,  Hungarian  Literature,  205. 

Reynolds,  Sir  Joshua,  Discourses,  175. 

RHETORIC,  COMPARATIVE,  218-231. 

Richardson,  Samuel,  5,  7,  21,  24,  68,  157, 

175, 184, 185, 190, 197,  221,  292,  293. 

Clarissa  Harlowe,  7,  21,  116,  118,  154, 

185,  206. 

Pamela,  4,  5,  17,  21,  66,  72,  123,  169, 
172,  174,  208. 

Richter,  Jean  Paul,  299. 


328 


INDEX 


Riemann,  R.,  Goethcs  Romantechnik,  14, 

n.,  lor,  112,  116,  n.,  267,  307. 
Robiati,  G.,  //  Romanzo   Contcmporaneo 

in  Italia,  176,  184,  189,  195,  307. 
Rossetti,  D.  G.,  169,  228. 
Rousseau,  J.-J.,  155,  176,  193,  224,  235, 

293 ;  La  Nouvelle  Helo'ise,  6,  8,  12, 

185. 
Royce,  Josiah,  Conception  of  Immortality, 

122,  127,   252;    Spirit  of  Modern 

Philosophy,  195. 

Ruskin,  John,  109,  209,  243,  261,  303. 
Russian  Criticism  of  the   Novel,  Notes 

on,  300-301,  308. 

Sainte-Beuve,  298. 

Saint-Pierre,  Bernardin  de,  Etudes  de  la 

Nature,  4 ;  Paul  et  Virginie,  4,  92, 

98,  140. 

Saintsbury,  George,  303. 
Sand,  George,  156,  187,  305 ;  Indiana,  8 ; 

Ulia.  8. 

Sannazaro,  Jacopo,  Arcadia,  13,  227,  287. 
Santayana,  George,  Sense  of  Beauty,  49. 
Scarron,  Paul,  Roman  Comique,  8,  290. 
Scene,  the,  as  a  unit  of  structure,  36. 
Schasler,  Max,  System  der  Kiinste,  237. 
Scheffel,  J.  V.  von,  Ekkehard,  203. 
Scherer,  Edmond,  147, 178, 205,  206,  275, 

305- 

Scherer,  W.,  307. 
Schiller,  180,  230,  294. 
Schlegel,  A.  W.,  299. 
Schlegel,  Friedrich,  189,  206,  300. 
Schmidt,  Erich,  307. 
Schopenhauer,  Arthur,  300. 
Scott,  Sir  Walter,  6,  8,  10,  12,  13,   20, 
23.  37,  Si.  S2,  63,  73,  80,  82,  85,  86, 
87, 103, 104,  108,  114,  133,  140,  145, 
X5°.  153.   163,   166,  167,   168,  169, 
171, 172,  173, 175, 176, 177, 178, 186, 
187, 190, 197, 198,  214,  223, 235, 244, 
275,  295,  296,  297,  299,  303,  306. 
Abbot,  The,  216. 
Anne  of  Geierstein,  171. 
Antiquary,  The,  5,  89,  90,  98. 
Bride  of  Lammermoor ,  The,  3,  16. 
Fortunes  of  Nigel,  The,  12,   17,   51, 

73.  173,  *9S- 
Guy  Manner  ing,  5,  170,  172. 


Heart  of  Midlothian,  The,  4,  12,  172. 
Ivanhoe,  5,  10,  13,  19,  23,  33,  35, 36, 51, 
52,  62,  68,  70,  92,  loo,  104, 106, 148, 
154,  164,  171,  216,  224. 
Kenilworth,  104,  216. 
Lady  of  the  Lake,  The,  168. 
Monastery,  The,  10,  73,  102,  169,  172, 

216,  217. 

Old  Mortality,  3,  12,  22. 
Peveril  of  the  Peak,  12,  17. 
Pirate,  The,  102,  108,  172. 
Quentin  Durward,  12,  217. 
Redgauntlet,  21,  170. 
Rob  Roy,  5,  10,  12,  102,  137. 
St.  Ronan's  Well,  187. 
Tales  of  My  Landlord,  4,  9,  12,  33. 
Talisman,  The,  79,  104,  224. 
Waverley,  5,  153,  168,  174,  185,  186, 

206. 

Waverley  Novels,  The ,5,7,  26,  92,  94, 
^S.  *39.  I65.  l69»  X76»  2I4.  216, 
296. 

Scudery,  Georges  de,  290. 
Scudery,   Madeleine   de,  278,  290;    Le 

Grand  Cyrus,  7. 
Sculpture  and  the  novel,  239. 
Secularity,  as  a  quality  of  style,  161. 
Senior,  William   N.,  Essays  on  Fiction, 

v,  107,  203,  205,  217,  277. 
Sensational  effect,  211. 
Sequence,  in   structure,  29.     See    also 

STRUCTURE,  CONSECUTIVE. 
of  dramatic  and  non-dramatic  masses, 

31 ;  of  simple  narratives,  56. 
SETTINGS,  THE,  78-90. 
aesthetic  function  of,  78. 
author,  and  dramatis  personae,  87. 
circumstantial,  83. 
distribution  of,  88. 
economy,  general,  of,  89. 
ideality,  reality,  and  truth  in,  84. 
natural,  social,  and  socialized,  86. 
place,  81-82. 

reality,  ideality,  and  truth  in,  84. 
social,  socialized,  and  natural,  86. 
time,  78-81. 
vague  and  exact,  85. 
Sex  in  the  author,  185. 
Shadwell,  Thomas,   The  Squire  of  At- 
safia,  195. 


INDEX 


329 


Shakespeare,  13,  19,  96,  112,  129,  146, 
155,  157, 162,  236;  As  You  Like  It, 

98,  107,  123;    Comedy  of  Errors, 
121,255;    Coriolanus,\g\  Hamlet, 

99,  117,  165,  199;  Macbeth,  165; 
Merchant  of  Venice,  45,  236 ;  Mid- 
summer Night's  Dream,  105,  255 ; 

Othello,  117,  165;  Richard  Third, 
257;  Romeo  and  Juliet,  98,  124; 

Taming  of  the  Shrew,  122;  Tem- 
pest, The,  19,  79,  91,  124;  Two 

Gentlemen  of  Verona,  124. 

SHAPING  FORCES  OF  THE  NOVEL,  THE, 
181-201. 

Shelley,  Mary,  186  ;  Frankenstein,  33,  45, 
57,  102,  142,  169,  201,  211,  212, 
216. 

Shelley,  Percy  Bysshe,  228  ;  Defense  of 
Poetry,  220. 

Sheridan,  R.  B.,  208. 

Short  Story,  the,  and  the  novel,  221. 

Sidney,  Sir  Philip,  Arcadia,  14,  17,  22, 
43,  102,  105,  107,  108,  123,  203, 
288;  Astrophel  and  Stella,  159; 
Defense  of  Poesy,  220,  226,  258,  288. 

Sienkiewicz,  Henryk,  190, 195, 242 ;  Chil- 
dren of  the  Soil,  142 ;  Deluge,  The, 
5 ;  Fire  and  Sword,  With,  5  ;  Pan 
Michael,  5;  Quo  Vadis,  51,  55,  62, 
82,  104,  155,  161. 

Sisraondi,  Jean  de,  Litterature  du  Midi 
de  T  Europe,  189,  298. 

Situation  and  movement,  33. 

Smollett,  Tobias,  6,  14,  24,  74,  95,  131, 
157.  163,  195,  197,  198,  221,  224, 
251,  255,  292,  293 ;  Adventures  of 
an  Atom,  92;  Ferdinand  Count 
Fathom,  293 ;  Peregrine  Pickle, 
lo;  Roderick  Random,  66;  Sir 
Launcelot  Greaves,  43,  44,  89, 

255- 
Social  composition  in  subject-matter,  133. 

environment  of  the  author,  immedi- 
ate, 197. 

grouping  of  the  characters,  105,  ff. 

groups,  influence  of  the  novel  on,  207. 

life,  in  the  subject-matter,  135. 

socialized,  and  natural  settings,  86.     - 
Society  and  the  individual,  in  subj 
matter,  142. 


Sociology  and  history,  in  subject-matter, 
132. 

Solger,  K.  W.  F.,  Vorlesungen  iibcr 
Aesthetik,  274,  300. 

Soliloquy  and  Monologue,  17. 

Sorel,  Charles,  Le  Berger  Extravagant, 
290. 

Sources  of  a  novel,  170. 

Spanish  Criticism  of  the  Novel,  Notes 
on,  287,  288,  290,  308. 

Spatial  point  of  view,  69. 

Speech  of  characters.    See  Utterance. 

Spencer,  Herbert,  150,  156. 

Spenser,  Edmund,  114;  The  Faerie 
Queene,  124. 

Spielhagen,  Fr.,  206,  307;  Technik  des 
Romans,  79,  138,  153, 154, 155, 158, 
159,  i&z,  172,  175,  178,  204,  307. 

Stael,  Mme.  de,  156,  298 ;  Corinne,  8, 13, 
82,  102;  Delphine,  21,  299;  Essai 
sur  les  Fictions,  298. 

Stendhal  (Henri  Beyle),  299. 

Sterne,  Laurence,  24,  116,  157,  163,  183, 
190,  203,  231 ;  Tristram  Shandy, 
10,  185,  195. 

Stevenson,  Robert  Louis,  24,  n.,  74,  150, 
153,  167,  180,  303;  Black  Arrow, 
The,  10 ;  Dr.  Jekyll  and  Mr.  Hyde, 
122;  Kidnapped,  6;  Master  ofBal- 
lantrae,  12. 

Stoddard,  R.  H.,  The  Evolution  of  the 
English  Novel,  26,  200,  n. 

Story,  in  a  technical  sense,  51. 

Stowe,  Harriet  Beecher,  214 ;  Uncle  Tom's 
Cabin,  82,  203,  217. 

STRUCTURE,  CONSECUTIVE,  28-46. 

STRUCTURE,  EXTERNAL,  1-27. 

STRUCTURE,  INTERNAL,  47-129,  267. 

Study  of  the  novel,  vii-xii,  265-268. 

STYLE,  150-165. 

in  general,  150-152. 
in  the  novel,  value  of,  152. 
novelistic  qualities  of,  154-165 ;  com- 
plexity,  160;   comprehensiveness, 
155;  concreteness,  158 ;  force,  164; 
humor,  162;  ideality,  163;  objec- 
tivity, 156 ;  secularity,  161. 
novelistic  type  of,  154. 
ibject-  jSubjective  and  objective  aspects  of  style, 


330 


INDEX 


SUBJECT-MATTER,  130-149. 

exhibition  and  interpretation  of,  131. 

extensive  and  intensive,  131. 

form,  and,  130. 

history  in,  132,  138-140. 

human  nature  in,  143. 

individual,  the,  and  society  in,  142. 

individuality  as,  140-142. 

interpretation  and  exhibition  of,  131. 

in  the  novel,  132. 

main  theme  in,  148. 

nature  as,  143-145. 

philosophy  in,  147. 

society  as,  132-138,  142. 

supernatural,  the  in,  145. 

typical  and  individual  values  of,  131. 
Sudennann,  Hermann,  Frau  Sorge,  13, 

203. 

Sue,  Eugene,  The  Wandering  Jew,  112. 

Supernatural,  the,  in  subject-matter,  145. 

Swift,  Jonathan,  163,  176,  196;  Battle  of 

the  Books,  14,  23,  224;   Gulliver's 

Travels,  26,  69,  75,  76,  85, 102,  174, 

193.  2I5- 

Symonds,  J.  A.,  quoted,  189. 
Syntax,  22. 

Taine,  H.,  188,  200,  305. 

Talfourd,  Thomas  N.,  297. 

Tarkington,  Booth,  The  Gentleman  from 
Indiana,  85. 

Tasso,  Torquato,  Jerusalem  Delivered, 
224. 

TECHNICAL  ANALYSIS  OF  THE  NOVEL, 
265-268. 

TECHNICAL  TERMS  IN  THE  CRITICISM 
OF  FICTION,  265-285. 

Technic  of  the  process  of  composition, 
174. 

Temporal  point  of  view,  67. 

Tennyson,  Alfred,  Harold,  68 ;  Idylls  of 
the  King,  45,  135,  197,  198,  224, 
238;  In  the  Children's  Hospital, 
228 ;  The  Princess,  221. 

Terence,  Adelphi,  195. 

Thackeray,  W.  M.,  24, 139,  151, 156, 163, 
194, 195,  206,  228,  297 ;  Henry  Es- 
mond, 8,  12,  24;  Pendennia,  33; 
Vanity  Fair,  184 ;  The  Virginians, 

12,  24. 


Theme,  the  main,  in  a  novel,  148. 

Theories  of  art,  260. 

of  the  novel,  262,  272,  273,  274,  275- 
276,  278,  293,  294,  298,  299,  302, 
3°3.  304-305.  306,  307. 

Theory  and  analysis  in  aesthetics,  247. 

Thomson,  James,  The  Castle  of  Indo- 
lence, 136. 

Thoreau,  H.  D.,  115,  229. 

Time  distribution  of  influence,  203. 

Time  perspective  of  the  process  of  com- 
position, 173. 

Time  settings,  78-81. 

Title  of  a  novel,  5. 

Tolstoi,  Count  Lyof  N.,  104, 119, 140, 150, 
156, 160, 189, 190, 198, 206, 209,  224, 
234,  308. 
Anna  Karenina,  33,  71,  82,  102,  106, 

133,  142,  143,  176,  185,  189. 
Master  and  Man,  15,  16, 19, 46, 76,  79, 

86,  92,  98. 

The  Resurrection,  10. 
War  and  Peace,  7,  10,  102, 176,  224. 
What  is  Art?,  261,  308. 

Tragic,  the,  and  the  comic,  254. 

Traill,  H.  D.,  303. 

Trollope,  Anthony,  9,  104,  163,  167,  175, 
178,  198,  303  ;  Barchester  Towers, 
10,  90, 134,  161, 175,  178, 188 ;  Can 
You  Forgive  Her  f,  10 ;  Chronicles 
of  Barsetshire,  5 ;  Small  House  at 
Allington,  82. 

Truth,  artistic,  257. 

Truth,  ideality,  and  reality  in  settings, 
84. 

Tuckerman,  Bernard,  History  of  English 
Prose  Fiction,  48. 

Turner,  C.  E.  Studies  in  Russian  Litera- 
ture, 180,  n.,  189,  206. 

Turgenieff,  Ivan  S.,  87,  98,  123,  133,  189, 
195,  206,   214;    On   the  Eve,  6; 
\      Smoke,  189. 

Typical,  the,  and  the  individual,  in  char- 
acters, 104, 121 ;  in  subject-matter, 

131- 
TYPES  OF  PROSE  FICTION,  279-285. 

Unity — general  design,  250-252. 

of  plot,  73. 
Utterance  of  the  characters,  117. 


INDEX 


331 


Vague  and  exact  settings,  85. 
Valdes.  See  Palacio  Valdes. 
Valera,  Juan,  308 ;  Comendador  Mendoza, 

13  '•  Pepita  Jimenez,  21,  33,  87,  137, 

144,  169,  170,  189,  194. 
Van  Dyke,  John,  188. 
Verga,  Giovanni,  158,  308. 
Veron,  Eugene,  ^Esthetics,  127,  233,  n., 

248,  n.,  305. 

Verri,  Alessandro,  Notti  Romane,  8. 
Verse  and  prose  in  the  novel,  13,  220. 
Vigny,  Alfred  de,  104,  299;   Cinq-Mars, 

10, 104,  140,  188. 
Vischer,  F.  T.,  Aesthetik,  272. 
Vocabulary,  25. 

Vogue,  E.  M.  de,  Le  Roman  Russe,  305. 
Volitional  effect  of  a  novel,  214. 
Voltaire,  196,  293 ;  Candide,  147,  188. 
Volume,  the,  as  a  unit  of  structure,  8. 

Waliszewski,  K.,  170, 189. 

Walker,  Francis  A.,  Political  Economy, 
ix. 

Walpole,  Horace,  186,  230,  244 ;  The  Cas- 
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169,  174,  196,  208,  216,  293. 

Walton,  Isaac,  The  Complete  Angler,  17, 
ISO- 


,  Mrs.  Humphry,  Robert  Elsmere, 

123. 
Warton,   Thomas,  History  of  English 

Poetry,  293. 
Wesley,  John,  209. 

Whipple,  E.  P.,  Literature  and  Life,  295. 
White,  James,  Earl  Strongbow,  8,  25,  26, 

69. 
Wilson,  S.  L.,  The  Theology  of  Modem 

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Winthrop,  Theodore,   204;  John  Brent, 

126. 
Wordsworth,  William,  155, 167, 172. 

Zangwill,  Israel,  190. 

Zeising,    A.,   Aesthetische    Forschungen% 

233- 

Zesen,  Philip  von,  290. 
Ziegler,  H.  A.  von,  Die  Asiatische  Banise, 

5- 

Zimmermann,  R.,  /Esthetik,  62. 
Zola,  Emile,  49,  83,  94,  119,  149,  150,  153, 

178,  193,  206,  211,  235,  305;    As- 

sommoir  L',  203;   Debacle,  La,  8, 

33, 134,  203 ;  Lourdes,  5 ;  Paris,  5 ; 

Roman  Experimental,  49,  n.,  108; 

Rome,  5;    Rougon-Macquartt  Les> 

S,  106;   Terre,  La,  8, 13. 


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